Did you mean: Securities and Exchange Commission v. Pentagon Capital Management LLC et al?
Web Results

SEC Settles Case, Drops Penalty Against British Hedge Fund ...

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 ...

Pentagon Capital Management PLC et al.: Lit. Rel. No. 22314 ...

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.).

SECURITIES AND EXCHANGE COMMISSION v. Pentagon Special ...

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

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

SEC v. Pentagon Capital Management, No. 12-1680 (2d Cir. 2013 ...

law.justia.com/cases/federal/appellate-courts/ca2/12-1680/12-1680-2013-08-08.html

After defendants were found liable for securities fraud stemming from their practice of late trading in the mutual fund market, the district court ordered ...

String of Recent Circuit Court Opinions Impact SEC Enforcement ...

www.wilmerhale.com/pages/publicationsandnewsdetail.aspx?NewsPubId=110188

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.

Privilege Wealth Plc - OffshoreAlert

www.offshorealert.com/Search.aspx?Term=Privilege Wealth Plc

Results 1 - 10 of 36 ... SEC v. Pentagon Capital Management Plc et al: Opinion. Feb 14 2012. Opinion in U. S. Securities and Exchange Commission v. Pentagon ...

In re Lancelot Investors Fund, LP, et al - Northern District of Illinois

www.ilnb.uscourts.gov/sites/default/files/opinions/Lancelot_Motion_for_Summary_Judgment.pdf

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 ...

Download PDF - Debevoise & Plimpton LLP

www.debevoise.com/~/media/files/insights/publications/2014/07/insider trading disclosure update/files/view insider trading disclosure update july 20__/fileattachment/insider_trading_update_july2014.pdf

Jul 9, 2014 ... developments in the areas of insider trading, the management of ... In the last several years, the Securities and Exchange Commission ... DOJ obtained a $1.8 billion settlement from SAC Capital Advisors .... Pentagon Capital ..... SEC v. Wyly , et al.:39 In early May, the. SEC won an important and high-profile.

SEC v. Big Apple Consulting USA, Inc.

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.

Negligence Based Charges Brought in ... - Drinker Biddle

www.drinkerbiddle.com/Templates/media/files/Outside Publications/2014/InvestmentLawyer-2014-09(1).pdf

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 Mgmt., No.

More Info

Pentagon Capital Management PLC et al.: Lit. Rel. No. 22262 ...

www.sec.gov

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 ...

Pentagon Capital Management PLC and Lewis Chester, Defendants ...

www.sec.gov

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.

Time is Money: Second Circuit Vacates SEC's $38 Million Fine ...

blogs.orrick.com

Aug 13, 2013 ... ... million fine against hedge fund Pentagon Capital Management PLC, ... entry was posted in Securities Exchange Act and tagged Gabelli v.