Miami Fights Fraud Ruling, Files Appeal
- SEC Case: School Officials Say Weiss Didn't Counter Shupe Plan. Hume, Lynn // Bond Buyer;7/15/2004, Vol. 349 Issue 31926, p1
Reports on the securities fraud inquiry of the Securities and Exchange Commission against Quaestor Municipal Group Inc. president L. Andrew Shupe and bond lawyer Ira Weiss in Pennsylvania. Testimony of five current and former officials of the Neshannock Township school District against the...
- SUPPORTING ACTOR ROLE. Gibeaut, John // ABA Journal;Jul2006, Vol. 92 Issue 7, p12
The article reports on the attempt of the U.S. Securities and Exchange Commission and private plaintiffs lawyers, fueled by public outrage, to haul as many securities fraud defendants as possible into court to increase the chances of meaningful financial recovery for victims. Meanwhile,...
- SEC Wonâ€™t Be Pinned Down on MCDC Continuing Disclosure Violations. Casey, Jack // Bond Buyer;9/14/2015, Vol. 1 Issue 34376, p1
Securities and Exchange Commission officials rejected bond lawyers' suggestions that the settlements with 36 underwriters under the Municipalities Continuing Disclosure Cooperation initiative contained specific parameters of continuing disclosure violations.
- TEXAS: Obeying the SEC. Albanese, Elizabeth // Bond Buyer;1/22/2002, Vol. 339 Issue 31308, p37
Reports on the plans of two former Arlington City Council members to close their investment management business as a result of securities fraud lawsuit by the U.S. Securities and Exchange Commission. Allegations against companies involved in the fraud.
- Dates set for SEC trials in cases over '93, '94 deals in Orange County. Hume, Lynn // Bond Buyer;01/26/99, Vol. 327 Issue 30565, p25
Focuses on United States Securities and Exchange Commission's (SEC) disclosure-related enforcement case against five issuers in Orange County, California. Small cities and school districts' determination to fight SEC charges; Violation of securities fraud laws through negligence.
- SEC charges 3 issuers, others over land-backed deals. Marois, Michael B.; Hume, Lynn Stevens // Bond Buyer;02/04/98, Vol. 323 Issue 30324, p1
Reports on the US Securities & Exchange Commission's (SEC) securities fraud charges against three small central California issuers of land-backed bonds. SEC action against a financial adviser and real estate appraiser for defrauding investors who bought Mello-Roos and Marks-Roos bonds issued...
- Financial shell game in Florida County sparks SEC charges. Reynolds, Katherine M. // Bond Buyer;09/30/97, Vol. 321 Issue 30241, p6
Reports on the securities dealers in Escambia County, Florida charged with fraud by the US Securities & Exchange Commission (SEC). Excess markups made by the charged dealers; Start of public administrative proceedings against the dealers.
- Mississippi localities settle; lawyer sued in SEC case. Hume, Lynn Stevens; McKenna, Jon // Bond Buyer;07/14/98, Vol. 325 Issue 30434, p1
Reports on the United States Securities and Exchange Commission's settlement of securities fraud charges against 38 counties, cities and town in Mississippi for failure to disclose the risk that 73 municipal note issues were not tax-exempt. Terms of the settlement; Attempt to maintain the...
- SEC Brief Blasts Miami Officials. Hume, Lynn; Sigo, Shelly // Bond Buyer;05/23/2000, Vol. 332 Issue 30897, p1
Reports on the securities fraud case filed by the United States Securities and Exchange Commission (SEC) against Miami, Florida. Inability of the city to be responsible about its bond holders; Brief filed by the SEC.