TITLE

Enforcement: Judge Urges Settlement in SEC's Case Against Ough, Rauscher

AUTHOR(S)
Hume, Lynn
PUB. DATE
November 2001
SOURCE
Bond Buyer;11/21/2001, Vol. 338 Issue 31270, p5
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on a lawsuit regarding Securities and Exchange Commission charges filed by Orange County, California, against the financial company Dain Rauscher Inc. and former bankers Kenneth Ough and Virginia Horler. Settlement urged by District Court judge Gary Taylor; Ough's intentions regarding settlement; Negotiations planned by the parties in a dispute resolution process.
ACCESSION #
8525031

 

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