Dain Rauscher to Pay $500,000 To Settle 4-Year-Old SEC Charges
- Start-Up Adviser Firm Adopts Fee-Only Model. Ackermann, Matt // American Banker;11/23/2005, Vol. 170 Issue 225, p8
This article looks at an investment advisory firm started up by David Bromelkamp formerly with RBC Dain Rauscher for 17 years. Bromelkamp's firm accepts no compensation except from advisory clients. Large investment firms are finding problems with conflict of interest under the new Securities &...
- New Hampshire Finance Agency Sets $10 Million Swap Deal. McDonald, Michael // Bond Buyer;4/4/2002, Vol. 339 Issue 31538, p4
Reports that the New Hampshire Business Finance Authority is selling the taxable and variable-rate bonds and swapping deals with RBC Dain Rauscher Inc. Number of loan guarantee and purchase programs; Identification of the capital for local economic development loans; Decline of refundable bonds...
- 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.
- Regulators step up enforcement efforts as losses from fraudulent schemes mount. Crockett, Barton; Iida, Jeanne // American Banker;4/18/1994, Vol. 159 Issue 73, p5
Reports on the complaints filed by the Securities and Exchange Commission (SEC) against promoters of allegedly fraudulent letter of credit and prime bank note investments. Pyramid schemes of the investment programs; Total amount of losses incurred by investors; Injunctions won by SEC.
- 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...
- SEC adds muscle to bank, thrift effort. // ABA Banking Journal;Feb90, Vol. 82 Issue 2, p18
Reports the formation of Savings and Loan and Bank Fraud Unit by the Securities and Exchange Commission in the U.S. Recruitment of William McLucas as director; Focus on the securities sold on the basis of misleading accounts; Detection of financial institution securities fraud.
- Where Are the Auditors? Meyerowitz, Steven A. // Financial Fraud Law Report;Mar2012, Vol. 4 Issue 3, p193
An introduction is presented in which the editor discusses various reports within the March 1, 2012 issue on topics including tools with auditors to detect fraud, the U.S. Securities and Exchange Commission enforcement events and corporate settlements.
- SEC proposes rewarding whistle-blowers up to 30%. HALONEN, DOUG // Pensions & Investments;11/15/2010, Vol. 38 Issue 23, p10
The article reports that the U.S. Securities and Exchange Commission (SEC) has proposed a rule that would allow the agency to pay people who would provide tips leading to judicial or administrative actions for securities violations.