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List of major SEC enforcement actions (2009–12) - Wikipedia, the ...

en.wikipedia.org/wiki/List_of_major_SEC_enforcement_actions_(2009–12)

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–...

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

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 ...

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

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

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.

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 settlement with ... Pentagon Capital Management PLC et al., case number ...

2013 Southern District of New York U.S. Federal District Court Case ...

law.justia.com/cases/federal/district-courts/new-york/nysdce/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 al

July 2014, Vol. 1, No. 1 - Debevoise & Plimpton LLP

www.debevoise.com/~/media/files/capabilities/capital markets/insidertradingupdatejuly2014coverpdf.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.

Securities and Exchange Commission v. Wyly et al, No. 1 - Justia Law

law.justia.com/cases/federal/district-courts/new-york/nysdce/1:2010cv05760/366061/622/

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 ...

April 2014 - UM Business Law Institute

umbusinesslaw.com/wp-content/uploads/2014/02/April-2014.pdf

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).

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.

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 ...

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

www.sec.gov

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.).

Pentagon Capital Loses Brady, Giglio Bid In SEC Suit - Law360

www.law360.com

Nov 15, 2010 ... The case is Securities and Exchange Commission v. Pentagon Capital Management PLC et al., case number 1:08-cv-03324, in the U.S. District ...

SEC must cut fine against British fund over abusive trades-US court ...

www.reuters.com

Aug 8, 2013 ... Pentagon Capital accused of late trading in mutual funds ... be reduced, in a case brought by the U.S. Securities and Exchange Commission, ... Supreme Court, in SEC v Gabelli, that said a five-year period for the regulator to ... Pentagon Capital Management Plc et al, 2nd U.S. Circuit Court of Appeals, No.