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 ...
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 ...
Aug 8, 2013 ... Case opinion for US 2nd Circuit SECURITIES AND EXCHANGE COMMISSION v.
PENTAGON CAPITAL MANAGEMENT PLC. Read the ...
After defendants were found liable for securities fraud stemming from their
practice of late trading in the mutual fund market, the district court ordered ...
Covering Legal and Regulatory Issues of Asset Management ... “The mission of
the U.S. Securities and Exchange. Commission [SEC] is to protect investors,
maintain ...... SEC v. Smith & Nephew plc, 12-cv-00187 (D.D.C.. Feb. 2, 2012); “
SEC ... In re J Kenneth Alderman et al., Inv. Co. Act Rel. .... Pentagon Capital
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.
Mar 7, 2012 ... for Lancelot Investor Fund, L.P., et al.,. ) ) Plaintiff,. ) ) v. ) Adv. No. 10 A 1974 ...
NV, PENTAGON CAPITAL MANAGEMENT. ) PLC, PENTAGON SELECT LTD.,
PENTAGON ). Adv. No. 10 A 1980. CAPITAL ..... That court also noted that the
Securities and Exchange Commission filed a brief therein in which it ...
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.
States Securities and Exchange Commission (“SEC” or the “Com- mission”) often
.... B. SEC v. Citigroup and Judicial Criticism of Neither-Admit-Nor-Deny.
Although SEC ... 1984). 25. Linda Chatman Thomsen et al., The Expanding Role
of Judges in Settlement and Beyond, ..... See S.E.C. v. Pentagon Capital Mgmt
Jun 8, 2016 ... Plaintiff, v. CELLCEUTIX CORPORATION, et al.,. Defendants. .... Commission (
the “SEC”). In large measure, the lawsuit .... The Securities Exchange Act of 1934
..... attributed to Janus Capital Management, which plaintiffs sought ... *11; S.E.C.
v. Pentagon Capital Mgmt. PLC, 725 F.3d 279, 286-87 (2d Cir.