Web Results

www.law360.com/newyork/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 ...

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 ...

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.).

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

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

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.

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 ...

www.telegraph.co.uk/finance/financial-crime/9085471/Hedge-fund-boss-whose-explosive-emails-finally-caught-up-with-him.html

Feb 15, 2012 ... ... battle by the US Securities and Exchange Commission (SEC) to pin Pentagon Capital Management down for abusive mutual fund trading.

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 ... Management ..... After the Supreme Court decided Janus Capital Group, Inc. v. First .... Pentagon Capital Mgmt. PLC, 725.

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.

www.telegraph.co.uk/finance/newsbysector/banksandfinance/9516100/Troubled-hedge-fund-Pentagon-to-fight-SECs-100m-fine.html

Sep 3, 2012 ... ... the US Securities and Exchange Commission nearly $100m (£63m) ... dramatic step after his hedge fund, Pentagon Capital Management, ...