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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 ... 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 ...

SECURITIES AND EXCHANGE COMMISSION v. BIG APPLE ...

caselaw.findlaw.com/us-11th-circuit/1697268.html

Apr 9, 2015 ... The Securities and Exchange Commission (SEC) brought this civil enforcement ... and the Securities Exchange Act of 1934 (Exchange Act), 15 U.S.C. § 78a et seq. ... Management Solutions International, Inc. (MSI), another wholly owned ..... Pentagon Capital Mgmt. PLC, 725 F.3d 279, 287 (2d Cir.2013) ...

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).

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

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.

SEC Enforcement: Top 10 Developments Under ... - Paul Hastings

www.paulhastings.com/docs/default-source/PDFs/financial-fraud-law-report.pdf

May 7, 2014 ... Jo White took the helm of the Securities and Exchange Commission. Just over a ..... The Supreme court's February 27, 2013 decision in SEC v. Gabelli ... pentagon capital Management for alleged late-trading violations from 1999 ..... 23 Seeinitial decision, In re BDO China Dahua CPA Co., Ltd. et al., nos.

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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.).

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.

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

www.debevoise.com

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.