SEC Files Charges Against Santos, 2 Chicago Brokers
- 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.
- ... Blotter... Gleeson, Jerry // REP.;Nov2012, Vol. 36 Issue 11, p18
The article offers information on the bad performance of .44 Magnum Leveraged Financing Program in which the U.S. Securities and Exchange Commission (SEC) showed securities fraud.
- SEC Charges Harrisburg With Fraud. Glazier, Kyle // Investment Management Mandate Pipeline;5/ 6/2013, p7
The article reports on the decision of the Securities and Exchange Commission to charge the city of Harrisburg, Pennsylvania due to securities fraud.
- SEC Bars Ex-Stifel Pro From Securities Market. Hume, Lynn // Bond Buyer;01/29/2001, Vol. 335 Issue 31065, p5
Reports that former Stifel, Nicolaus & Co. broker Regald B. Smith has agreed to be barred from the securities industry, as part of a settlement with the United States Securities and Exchange Commission (SEC). Smith's involvement in securities fraud; Case background; Charges filed by the SEC...