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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 ...

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

www.law360.com/articles/528705/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 ...

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.).

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 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.

Burrill Capital Management, et al. - SEC.gov

www.sec.gov/litigation/admin/2016/34-77473.pdf

Mar 30, 2016 ... The Securities and Exchange Commission (“Commission”) deems it appropriate ... and except as provided herein in Section V, Respondents consent ... management fees” from Burrill Life Sciences Capital Fund III (“Fund III”), ...

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, ...

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

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

Sep 13, 2012 ... ... in charging secondary actors with securities law violations, SEC v. ... Merchant Capital LLC, the Eleventh Circuit bolstered the SEC's ... In a third ruling of note, SEC v. .... Ben Brown, et al., SEC Director of Enforcement Outlines Significant ... Pentagon Capital Mgmt. PLC, 2010 WL 985205 *2 (S.D.N.Y. Mar.

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

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 ... On August 8, 2013, the Second Circuit vacated the SEC's $38 million fine against hedge fund Pentagon Capital Management PLC, holding that ...

Response in Opposition to Order to Show Cause and - FERC vs ...

ferclitigation.com/wp-content/uploads/Powhatan-response-to-Order-to-Show-Cause.pdf

Feb 2, 2015 ... Powhatan, however, believes in the integrity of the Commission and the critical ..... et al. in Opp'n. to Order to Show Cause & Notice of Proposed .... brought an enforcement action against Pentagon Capital Management PLC (“Pentagon”) and ... 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5.