Issuers, Underwriters Urged to Heed NFMA Disclosure Advice
- Ough ruling may wreak havoc on North Orange County case. Hume, Lynn // Bond Buyer;12/09/99, Vol. 330 Issue 30784, p5
Reports on the dismissal of securities fraud charges against Dain Rauscher Inc. banker Kenneth Ough. Appeal filed by the United States Securities and Exchange Commission.
- Rauscher, Horler cases put on hold. Hume, Lynn // Bond Buyer;10/14/99, Vol. 330 Issue 30747, p1
Reports that the United States Securities and Exchange Commission has put on hold the securities fraud lawsuits it filed against former Dain Rauscher Inc. bankers Kenneth D. Ough and Virginia O. Horler, as they were on the verge of settlement. Reason behind the federal agency's decision to put...
- Ough to Continue to Fight SEC in Appeal or Trial. Hume, Lynn // Bond Buyer;7/16/2001, Vol. 337 Issue 31181, p6
Reports on the decision of former Dain Rauscher Inc. banker Kenneth Ough to continue to fight the United States Securities Exchange Commission's (SEC) Orange County, California-based related securities fraud charges. Ough's denial of the charges despite an appeals court decision favoring SEC;...
- Panel: This Top 10 List Doesn't Have Buy-Side Players Laughing. Hume, Lynn // Bond Buyer;5/5/2006, Vol. 356 Issue 32375, p7
The article focuses on the list of top 10 factors that affects the buying activities in bond fund market, presented by Eaton Vance Management company's director of municipal research Tom Weyl and colleagues from other firms, during the 23rd annual meeting of the National Federation of Municipal...
- Enforcement: Judge Urges Settlement in SEC's Case Against Ough, Rauscher. Hume, Lynn // Bond Buyer;11/21/2001, Vol. 338 Issue 31270, p5
Focuses on a lawsuit regarding Securities and Exchange Commission charges filed by Orange County, California, against the financial company Dain Rauscher Inc. and former bankers Kenneth Ough and Virginia Horler. Settlement urged by District Court judge Gary Taylor; Ough's intentions regarding...
- SEC, Rauscher could settle or go to trial. Hume, Lynne // Bond Buyer;04/21/99, Vol. 328 Issue 30624, p4
Informs that the United States Securities and Exchange Commission (SEC) and Dain Rauscher Inc. could settle or prepare for trial in the first case involving alleged yield-burning abuses. Documents filed by the two parties with the federal judge; Securities fraud and other charges filed by the...
- Dain Rauscher to Pay $500,000 To Settle 4-Year-Old SEC Charges. Hume, Lynn // Bond Buyer;8/14/2002, Vol. 341 Issue 31449, p1
Reports the settlement of the securities fraud charges of the Securities and Exchange Commission against RBC Dain Rauscher in Oregon County, California. Agreement to cease and decease violations related to securities law; Amount paid by the company; Enforcement of the municipal bond.
- Rauscher: SEC would impose new rules in yield-burning case. Hume, Lynn Stevens // Bond Buyer;04/02/98, Vol. 324 Issue 30364, p1
Discusses the position of Dain Rauscher Inc., formerly known as Rauscher Pierce Refsnes Inc. on the yield-burning enforcement case of the US Securities and Exchange Commission (SEC). Enforcement of policies as the SEC's strategy to retroactively impose new policies and rules on municipal...
- SEC: Dain Rauscher Agrees to Pay $200,000 in Miami Case. Hume, Lynn // Bond Buyer;10/1/2001, Vol. 337 Issue 31234, p46
Reports the settlement of the dispute between Dain Rauscher Inc. and the Securities and Exchange Commission regarding the financial condition in Miami, Florida. Cost of the settlement; Agreement to maintain the revised underwriting policies and procedures; Details of the settlement.