SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds
- District judge ready to hear sides in banker's Orange County case. Figler, Andrea // Bond Buyer;08/11/99, Vol. 329 Issue 30702, p40
Reports on the lawsuit filed against Ken Ough by the United States Securities and Exchange Commission for alleged securities fraud. Failure to disclose material information on ten taxable note offerings.
- Cochran: SEC appeal is unsupported. Hume, Lynn // Bond Buyer;10/05/99, Vol. 329 Issue 30740, p1
No abstract available.
- Cochran Won't Appeal to Supreme Court to Prevent Trial. Hume, Lynn // Bond Buyer;08/29/2000, Vol. 333 Issue 30964, p6
Focuses on securities fraud issue filed by the Securities and Exchange Commission (SEC) against banker Robert Cochran in the United States. Account of the charges filed by SEC; Background of the case; Significance of the case to the municipal securities enforcement program of SEC.
- Judge Drops Charges In Kevin Quinn Y-B Suit. Ferris, Craig T. // Bond Buyer;7/30/2001, Vol. 337 Issue 31191, p5
Focuses on the acquittal of Kevin Quinn against the securities fraud charges filed in the United States Securities and Exchange Commission (SEC). Reaction to the decision; Reason behind the acquittal; Claims of SEC.
- Lawyer: Cochran, SEC may settle. Hume, Lynn; Preston, Darrell // Bond Buyer;02/02/99, Vol. 327 Issue 30570, p6
Reports on the possibility that the United States Securities and Exchange Commission may settle securities fraud charges pending against former Oklahoma investment banker Robert Cochran. US District Court Judge Wayne E. Alley's dismissal of the commission's charges to two transactions; Pending...
- SEC to appeal court dismissal of charges against Cochran. Hume, Lynn // Bond Buyer;04/20/99, Vol. 328 Issue 30623, p7
Focuses on the United States Securities and Exchange Commission's plan to appeal a federal judge's January 28, 1999, dismissal of securities fraud charges against former Oklahoma investment banker Robert Cochran. Failure of Cochran to disclose vital information to issuers and investors;...
- Advisers' disclosure duties will be debated in SEC case. Hume, Lynn Stevens // Bond Buyer;07/20/98, Vol. 325 Issue 30438, p1
Focuses on the securities fraud case filed by the United States Securities and Exchange Commission (SEC) against former Dain Rauscher Inc. official, Virginia Horler. Major legal battle over the disclosure duties of financial advisers in the municipal market; Claim by SEC that Horler failed to...
- SEC: Dealer's CEO failed to supervise. Hume, Lynn Stevens // Bond Buyer;08/11/98, Vol. 325 Issue 30454, p4
Reports that Clark Melvin Securities Co. chief executive officer Cesar A. Montillo has been charged with securities law violations by the United States Securities and Exchange Commission. Montillo's failure to supervise an employee who allegedly stole from customers; Tactics employed by Hernan...
- Teressa Cawley blasts SEC; brief says she acted illegally. Hume, Lynn // Bond Buyer;09/14/99, Vol. 329 Issue 30725, p5
Reports on the lawsuit filed by the United States Securities and Exchange Commission against Teressa Cawley for using a consultant to help secure municipal bond business. Details of the case.