Ex-Pennsylvania Treasurer's Aide Sentenced to 3 Months in Prison
- SEC, Heal Thyself: Compliance Program Revamped. Carton, Bruce T. // Compliance Week;Jul2009, Vol. 6 Issue 66, p16
The author reports on the suspicious activities and improprieties undertaken by two employees of the U.S. Securities and Exchange Commission (SEC). According to the SEC's Inspector General, they already found evidences against the alleged errant enforcement attorneys who traded non-public...
- McCarthy Dubbed `Mr. Magic' for Alex. Brown, Quinn. Hume, Lynn // Bond Buyer;05/19/2000, Vol. 332 Issue 30895, p4
Reports on how attorney Patrick McCarthy brought public finance and investment business to Alex. Brown and Sons Inc. Close working relationship with Kevin Quinn, head of public finance at Alex. Brown; Fraud case brought by the United States Securities and Exchange Commission (SEC) against Quinn...
- KLA/Juniper GC Charged. Maleske, Melissa // InsideCounsel;Oct2007, Vol. 17 Issue 191, p13
The article reports on the filing of fraud charges by the U.S. Securities and Exchange Commission against Lisa Berry for misconduct during separate stints as general counsel for KLA-Tencor Corp. and Juniper Networks Inc. According to the complaint filed on August 28, 2007, Berry allegedly...
- The Hammer Goes In-House. Ward, Stephanie Francis // ABA Journal;Jan2008, Vol. 94 Issue 1, p14
The article discusses a court case wherein two former Enron lawyers were charged with violating antifraud laws. The case was filed by the U.S. Securities and Exchange Commission (SEC) against Jordan H. Mintz and Rex R. Rogers in the District Court for the Southern District of Texas. According to...
- Parties to the Downfall. // ABA Journal;Jun2012, Vol. 98 Issue 6, p38
The article presents information on the problems faced by several lawyers due to the Watergate scandal and the decline of their legal career. Some of them had to face convictions and criminal charges. The list of lawyers who faced the consequences are provided along with information on the...
- The Securities And Exchange Commission. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p70
Presents excerpts from `The Work of the SEC' (Securities and Exchange Commission). Composition; Division of Corporation Finance; Division of Market Regulation; Division of Investment Management and Enforcement.
- Federal Securities And Merger Laws. // Congressional Digest;Mar1989, Vol. 68 Issue 3, p68
Presents excerpts from the US Securities and Exchange Commission's 1988 publication `The Work of the SEC.' Considers laws from 1933 to 1988 which regulate the securities market and corporate mergers.
- SEC proposal for abbreviated financial statements put on... // CPA Journal;Dec95, Vol. 65 Issue 12, p11
Reports on reactions to Securities and Exchange Commission's (SEC) proposal for abbreviated financial statements. Details of proposal; Examination of reactions; Background information on SEC; Views from officials.
- The SEC's Annual Report to Congress. Coffey, William J.; Illiano, Gary // CPA Journal;Dec95, Vol. 65 Issue 12, p42
Presents information on the 1994 annual report of the Securities and Exchange Commission (SEC) to Congress. Brief history on SEC; Contact points for SEC's 1994 Annual Report to Congress; Information on report. INSET: SEC proposed rules for use of abbreviated financial statements...