SEC Hears G-17 Case
- Broward County, Fla., Should Not Get Wheat First Money, SEC Decides. Hume, Lynn // Bond Buyer;7/19/2005, Vol. 353 Issue 32177, p5
Reports on the U.S. Securities and Exchange Commission's (SEC) decision on July 18, 2005, that Broward County, Florida, should not get any of the $245,815 that Wheat, First Securities Inc., now Wachovia Securities Inc., turned over to the SEC after the commission ruled against it and its former...
- First Union, Cawley Lose SEC Appeal. // Bond Buyer;8/22/2003, Vol. 345 Issue 31704, p1
Reports that the U.S. Securities and Exchange Commission has sided with its enforcement division and are against Wheat, First Securities Inc., which was purchased by First Union Capital Markets Inc. and its former vice president Teressa Cawley. Violation of Municipal Securities Rulemaking...
- FA charges SEC with 'character assassination' in Broward County case. Hume, Lynn // Bond Buyer;08/03/99, Vol. 329 Issue 30696, p5
Reports on Financial adviser Teressa Cawley's filing of a case against the United States Securities and Exchange Commission fir engaging in character assassination to cover up the glaring deficiencies in its case against her. Commission's charge to Cawley of violating the Municipal Securities...
- 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.
- SEC files charges against former First Union public finance officer. Hume, Lynn Stevens // Bond Buyer;01/06/99, Vol. 327 Issue 30552, p7
Reports that the United States Securities and Exchange Commission (SEC) has charged former First Union Capital Markets Corp. public finance manager Teressa L. Cawley with violating the Municipal Securities Rulemaking Board's Rule G-17 on fair dealing and the federal securities laws. Amount that...
- First Union, Cawley Ruling Is Fair And Necessary, SEC Lawyers Say. Hume, Lynn // Bond Buyer;05/10/2000, Vol. 332 Issue 30888, p5
Reports on an administrative judge's ruling against Wheat First Securities Inc. and Teressa Cawley. Fraud in municipal securities transactions; Appeal of Wheat First Securities and Cawley.
- SEC Sets New Policy; Will Go Easier On Market Participants Who. Hume, Lynn // Bond Buyer;10/24/2001, Vol. 338 Issue 31250, p5
Reports on the enforcement policy introduced by the U.S. Securities and Exchange Commission (SEC) for cooperating market participants in enforcement actions. Case study that forms basis for the enforcement policy; Several ways by which SEC can credit market participants for cooperation; Four...
- SEC Enforcement: A Look at the Current Program and Some Thoughts About the 1990s. McLucas, William R.; DeTore, Stephen M.; Colachis, Arian // Business Lawyer;May91, Vol. 46 Issue 3, p797
Examines the focus programs at the enforcement division in the United States Securities and Exchange Commission. Concentration of the enforcement program; Inclusions of the program; Discussion on the characteristics of the program.
- SEC Muni Enforcement Unit, OMS Have Grown in Size and Expertise. Casey, Jack // Bondbuyer.com;9/11/2015, p1
SEC enforcement officials want muni market participants to know that they have 30 people, mostly staff attorneys, in eight offices around the country who have significant expertise in muni issues.