Credit Suisse First Boston may force SEC testimony on Orange County probe
- Cornblum to settle yield-burning case. Hume, Lynn // Bond Buyer;07/20/99, Vol. 329 Issue 30686, p4
Reports on the proposed settlement of the United States Securities and Exchange Commission's yield-burning case against former investment banker Michael A. Cornblum. Case background.
- Stock research is OK. A motorcycle isn't. Sherrid, Pamela // U.S. News & World Report;2/24/97, Vol. 122 Issue 7, p64
Considers how the Securities and Exchange Commission (SEC) is targeting money managers who accept `soft dollar' payments from the brokers who execute their trades. Explanation of the practice; Instances in which it is legal; Accusations lodged by the SEC against Tandem Management.
- STAR-BROKER FALLS. Fleming, Michael // Daily Variety;04/04/2000, Vol. 267 Issue 23, p1
Reports on the securities fraud lawsuit filed by the United States Securities and Exchange Commission against New York City-based Dana Giacchetto, an investment adviser for several Hollywood celebrities as of April 4, 2000. Case background; Lawsuit's allegations.
- SEC alleges conflict of interest in MPI's handling of trades for institutional client. Williams, Terry // Pensions & Investments;07/12/99, Vol. 27 Issue 14, p35
Reports on the United States Securities and Exchange Commission's conflict of interest case against Illinois-based money manager MPI Investment Management. Case background; Company's failure to inform its institutional investor client about directing trades to a former partner's brokerage firm.
- SEC's Cox Leaving to Join PricewaterhouseCoopers. Hume, Lynn // Bond Buyer;12/1/2004, Vol. 350 Issue 32020, p40
This article reports that Laura Cox, the U.S. Securities and Exchange Commission's (SEC's) managing executive for external and governmental affairs and a member of SEC chairman William R. Donaldson's three-person senior management team, will leave the commission to join PricewaterhouseCoopers...
- Case comment: the need for careful analysis of the statistical summary in the response to the complaint in the SEC v. Goldman Sachs case. GASTWIRTH, JOSEPH L. // Law, Probability & Risk;Mar2011, Vol. 10 Issue 1, p77
In its response to charges by the Securities and Exchange Commission that the investment bank misled investors about the role a hedge fund manager had in selecting a securities portfolio involving subprime mortgages, the firm submitted statistics to support its argument that the losses incurred...
- Say it ain't so, Joe. Smith, Anne Kates // U.S. News & World Report;01/17/2000, Vol. 128 Issue 2, p42
Reports on the United States Securities and Exchange Commission's civil lawsuit against Yun Soo Oh Park. Charges against Park concerning investment advice on his Tokyo Joe Web site; Issue of whether he was acting as an investment adviser and legally bound to disclose his trading to clients, or...
- Court Rejects Adviser Registry Rule. Bloomberg News // American Banker;6/26/2006, Vol. 171 Issue 121, p23
This article describes a U.S. Court of Appeals ruling that struck down a Securities and Exchange Commission rule that would have subjected the hedge fund industry to stricter regulation and random inspections. The rule would also have required hedge fund advisers to register with the agency. The...
- Fiduciaries or Providers of Suitable Products? When Advice Is Not Advice. Duska, Ronald F. // Journal of Financial Service Professionals;Jan2007, Vol. 61 Issue 1, p13
The author analyzes a suit brought by the Financial Planning Association (FPA) against the U.S. Securities and Exchange Commission over Rule 202(a)(11)-1, called "Certain Broker-Dealers Deemed Not to Be Investment Advisors." The central issue surrounding the suit is the FPA feels brokerage...