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


It holds primary responsibility for enforcing the federal securities laws and .... Palisades Asset Management, LLC with overvaluing illiquid fund assets they placed in a .... In December 2011, the S...

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


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.

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


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

13-11976 Date Filed - U.S. Courts


Apr 9, 2015 ... MATTHEW MAGUIRE, et al., ... The Securities and Exchange Commission (SEC) brought this civil ... 1933 (Securities Act), 15 U.S.C. § 77a et seq., and the Securities Exchange Act of ... Management ..... After the Supreme Court decided Janus Capital Group, Inc. v. First .... Pentagon Capital Mgmt. PLC, 725.

The Investment Lawyer - Drinker Biddle & Reath LLP

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.

July 2014, Vol. 1, No. 1

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.

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


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.

Admit or Deny: A Call for Reform of the SEC's "Neither-Admit-Nor ...


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 PLC, No.

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Jul 30, 2015 ... Boilermakers Local 154 Retirement Fund, et al. v. Chevron Corp., et al., 466 .... Pentagon Capital Management, 194. SEC v. Primary Global .... The Securities and Exchange Commission (“SEC”) is the principal enforcer of the.

Dodd Frank Act securities - Academia.edu


Finally, the Iourth part provides the analysis oI Janus Capital Group v. ... 1.2 Secondary Liability Provisions in the Securities Exchange Act of 1934 1.2.1 Section 9 ..... In Re Revalee et al 37 , three persons Revalee, Molton and Dworschak agreed to ..... Pentagon Capital Management PLC 68 the District Court oI New York Ior ...

Helpful Resources

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


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 et al. - Securities and ...


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 Management PLC and Lewis Chester, Defendants ...


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.

Pentagon Capital Requests Chop To $77M SEC Penalty - Law360


Mar 21, 2012 ... 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 ...

Hedge Fund Asks High Court To Tackle Disgorgement Limits ...


Apr 16, 2014 ... The petition is Pentagon Capital Management PLC et al. v. Securities and Exchange Commission, case number 13-1142, in the Supreme Court ...