The below list of major SEC enforcement actions (2009–12) reflects major
actions that the Enforcement Division of the United States Securities and
Exchange Commission (SEC) brought in 2009–...
Feb 17, 2012 ... SEC v. Pentagon Capital Management PLC et al., 08 Civ. ... in favor of the U.S.
Securities and Exchange Commission finding that United ...
Feb 14, 2012 ... SECURITIES AND EXCHANGE COMMISSION. New York .... 2009 it was denied.
SEC v. Pentagon Capital Management PLC, 612. F. Supp. 2d 241 (S.D.N.Y. 2009
). 2 .... al though the best estimate of the 4: 00 PM value of. Stock B in the ..... by 4:
00 p.m. ET in order to receive that day's NAV. The SEC.
Feb 12, 2016 ... The U.S. Securities and Exchange Commission has reached a ... But the Second
Circuit vacated the penalty, relying on the high court's then-recent ruling in
Gabelli v. ... Pentagon Capital Management PLC et al., case number ...
Apr 9, 2015 ... The Securities and Exchange Commission (SEC) brought this civil enforcement
... and the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78a et
seq. ... Management Solutions International, Inc. (MSI), another wholly owned .....
Pentagon Capital Mgmt. PLC, 725 F.3d 279, 287 (2d Cir.2013) ...
Jul 7, 2015 ... Court Description: OPINION AND ORDER re: 596 MOTION for Judgment as a
Matter of Law or Alternatively for a New Trial, and for a Stay of ...
Recent Late Trading Case and Its Implication for Securities Lawyers. 20 e Jobs
Act: ..... 101,et seq. An action must be ... THEO POLAN is a rst year MBA student
at the Yale School of Management. Prior ... Securities and Exchange
Commission;. • O ce of ..... S.E.C. v. Pentagon Capital Mgmt. PLC, 725 F.3d 279. (
2d Cir. 2013).
Sax v. New Oriental Education & Technology Group, Inc. et al. Date: December ...
International Securities Exchange, LLC et al v. S&P Dow .... Securities and
Exchange Commission v. Mattera et al ..... Pentagon Capital Management PLC et
Sep 13, 2012 ... Merchant Capital LLC, the Eleventh Circuit bolstered the SEC's remedial .... <sup>4</sup>
SEC v. Apuzzo, 758 F. Supp. 2d 136, 152 (D. Conn. 2010). ... <sup>27</sup> Douglas
Davison, Ben Brown, et al., SEC Director of Enforcement Outlines Significant
Changes ... Pentagon Capital Mgmt. PLC, 2010 WL 985205 *2 (S.D.N.Y. Mar.
May 7, 2014 ... Jo White took the helm of the Securities and Exchange Commission. Just over a
..... The Supreme court's February 27, 2013 decision in SEC v. Gabelli ...
pentagon capital Management for alleged late-trading violations from 1999 ..... 23
Seeinitial decision, In re BDO China Dahua CPA Co., Ltd. et al., nos.