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–...
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 ...
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.
Feb 12, 2016 ... The U.S. Securities and Exchange Commission has reached a settlement with ...
Pentagon Capital Management PLC et al., case number ...
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
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.
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 ...
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).
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.
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 ...