SEC files fraud charges against Strauss in connection with two 1992 deals
- Cochran and others to be fined by SEC. Hume, Lynn // Bond Buyer;02/16/99, Vol. 327 Issue 30579, p1
Reports that the US Securities and Exchange Commission is expected to announce its settlement with the defendants in a securities fraud case. Lawsuit filed against Robert Cochran; Settlement with Sakura Global Capital Inc., Steven Strauss and James Pannone; `Comfort' and `closing' letters...
- SEC files charges against Sakura, ex-Stifel banker over refundings. Hume, Lynn Stevens // Bond Buyer;01/30/98, Vol. 323 Issue 30321, p1
Reports on the US Securities and Exchange Commission's (SEC) filing of securities fraud and other charges against Sakura Global Capital Inc. and former Stifel Nicolaus & Co. vice president James Pannone in connection with two refunding bond issues in 1992. Similar charges against former Sakura...
- SEC Charges Developer, Appraiser Over Rancho Lucerne Project Bonds. Hume, Lynn // Bond Buyer;2/26/2003, Vol. 343 Issue 31581, p4
Reports that the U.S. Securities and Exchange Commission has filed securities fraud charges against the developer and appraiser of the proposed San Bernardino, California-based Rancho Lucerne residential golf course community. Overview of the lawsuit.
- Cochran casualty has record expunged. Preston, Darrell // Bond Buyer;10/30/97, Vol. 322 Issue 30263, p3
Details US District Judge Ralph Thompson's decision in Oklahoma City, Oklahoma to throw out the wire fraud conviction of Steven S. Strauss, a participant who testified against former executives of Stifel Nicolaus & Co. Thompson's order to expunge all mention of the conviction from federal...
- 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...