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www.law360.com/articles/758916/sec-settles-case-drops-penalty-against-british-hedge-fund

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 ...

www.sec.gov/litigation/litreleases/2012/lr22262-opinion.pdf

Feb 14, 2012 ... SECURITIES AND EXCHANGE COMMISSION. New York Regional Office .... 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 ..... which required that trades be placed by 4:00 p.m. ET in order to. 19.

www.sec.gov/litigation/litreleases/2012/lr22314.htm

Apr 2, 2012 ... U.S. SECURITIES AND EXCHANGE COMMISSION ... SEC v. Pentagon Capital Management PLC et al., 08 CIV 03324 (RWS) (S.D.N.Y.).

www.sec.gov/litigation/litreleases/2012/lr22262.htm

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 ...

caselaw.findlaw.com/us-2nd-circuit/1641331.html

Aug 8, 2013 ... SECURITIES AND EXCHANGE COMMISSION, Plaintiff–Appellee, v. PENTAGON CAPITAL MANAGEMENT PLC, Lewis Chester, ...

blogs.orrick.com/securities-litigation/2013/08/13/time-is-money-second-circuit-vacates-secs-38-million-fine-against-hedge-fund-pentagon-capital-management

Aug 13, 2013 ... Securities Litigation, Investigations and Enforcement ... $38 million fine against hedge fund Pentagon Capital Management PLC, holding that the ... Citing Gabelli, the Second Circuit in SEC v. ... 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934, ..... Reich · Tilton et al. v.

www.telegraph.co.uk/finance/newsbysector/banksandfinance/9516100/Troubled-hedge-fund-Pentagon-to-fight-SECs-100m-fine.html

Sep 3, 2012 ... ... the US Securities and Exchange Commission nearly $100m (£63m) ... dramatic step after his hedge fund, Pentagon Capital Management, ...

www.law.du.edu/documents/corporate-governance/sec-and-governance/SEC-v-Big-Apple-Case.pdf

Apr 9, 2015 ... MATTHEW MAGUIRE, et al., ... The Securities and Exchange Commission (SEC) brought this civil ... Act), 15 U.S.C. § 77a et seq., and the Securities Exchange Act of ... Management ..... Pentagon Capital Mgmt. PLC, 725.

www.telegraph.co.uk/finance/financial-crime/9085471/Hedge-fund-boss-whose-explosive-emails-finally-caught-up-with-him.html

Feb 15, 2012 ... ... battle by the US Securities and Exchange Commission (SEC) to pin Pentagon Capital Management down for abusive mutual fund trading.