The Fine Points of G-37
- Former MCA Execs Accused of Fraud. // American Banker;4/26/2002, Vol. 167 Issue 80, p11
Reports the lawsuit filed ob the Securities and Exchange Commission (SEC) on former MCA Financial Corp. executives relating to mortgage securities fraud in the U.S. Allegation of SEC on misrepresentation of risk rate of return; Violation of the executives on antifraud provisions of securities...
- Landmark SEC G-36 Case Settled. Hume, Lynn // Bond Buyer;06/13/2001, Vol. 336 Issue 31159, p1
Reports the settlement of the case between the Securities and Exchange Commission (SEC) against Legg Mason Wood Walker Inc. in Washington D.C. Amount fined against the company; Context of the violated rules; Comments from SEC officials on the settlement.
- Attain's Parent Takes SEC to Court. Clary, Isabelle // Securities Industry News;10/14/2002, Vol. 14 Issue 39, p6
Reports on a lawsuit filed by Domestic Securities Inc. against the U.S. Securities and Exchange Commission in the U.S. Court of appeals for the district of Columbia, to obtain a review of its approval of U.S. National Association of Securities Dealers and Automated Quotations (NASDAQ) trading...
- Using Cultural Audits to Assess Tone at the Top. Castellano, Joseph F.; Lightle, Susan S. // CPA Journal;Feb2005, Vol. 75 Issue 2, p6
Presents views on the use of cultural audit in assessing the financial reporting system of a company. Overview of a lawsuit filed by the U.S. Securities and Exchange Commission against HealthSouth Corp. and its CEO Richard Scrushy; Steps involved in the methodology of managing by objectives and...
- Organization Implicates Old Kent In Soil Case. Czurak, David // Grand Rapids Business Journal;8/13/2001, Vol. 19 Issue 33, p1
Describes the amendment made by the Local Area Watch to the intent-to-sue notice it filed with the state of Michigan by adding the Fifth Third Bank to its complaint. Charges that contaminated soil was illegally removed from the Berkeley & Gay Building site in Grand Rapids, Michigan; Reasons for...
- SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds. Hume, Lynn // Bond Buyer;2/26/2003, Vol. 343 Issue 31581, p4
Reports that the U.S. Securities and Exchange Commission has filed securities fraud charges against the developer and appraiser of the proposed San Bernardino, California-based Rancho Lucerne residential golf course community. Overview of the lawsuit.
- Mob-linked plumbers fined by SEC. Mader, Robert P. // Contractor Magazine;May96, Vol. 43 Issue 5, p1
Reports on the settlement of the cases involving the Security and Exchange Commission and two officers of Atratech Incorporated, an alledgedly mob-connected plumbing firm. Agreement to pay fines; Perceived control of convicted felon, Anthony Gurino; His working background; State of cases against...
- Federal judge rules in favor of SEC in porn case. // Buffalo Law Journal;12/13/2010, Vol. 82 Issue 99, p11
The article reports that U.S. District Judge Christine Arguello ruled out that U.S. Securities and Exchange Commission (SEC) does not have to release the names of employees who viewed pornography on agency computers during work hours, and argues that SEC has already released enough information...
- Pay-to-Play Lawsuit in Appeal. Glazier, Kyle // Bond Buyer;1/5/2015, Vol. 1 Issue 34236, p1
A lawsuit challenging the Securities and Exchange Commission's investment adviser pay-to-play rule is moving forward in a D.C. federal appeals court, with implications for muni market pay-to-play restrictions hanging in the balance.