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 ...
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.).
Aug 8, 2013 ... SECURITIES AND EXCHANGE COMMISSION, Plaintiff–Appellee, v. PENTAGON
CAPITAL MANAGEMENT PLC, Lewis Chester, ...
After defendants were found liable for securities fraud stemming from their
practice of late trading in the mutual fund market, the district court ordered ...
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.
www.offshorealert.com/Search.aspx?Term=Privilege Wealth Plc
Results 1 - 10 of 36 ... SEC v. Pentagon Capital Management Plc et al: Opinion. Feb 14 2012. Opinion
in U. S. Securities and Exchange Commission v. Pentagon ...
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 ...
www.debevoise.com/~/media/files/insights/publications/2014/07/insider trading disclosure update/files/view insider trading disclosure update july 20__/fileattachment/insider_trading_update_july2014.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.
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.
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