It holds primary responsibility for enforcing the federal securities laws and ....
Palisades Asset Management, LLC with overvaluing illiquid fund assets they
placed in a .... In December 2011, the S...
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.
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
Apr 9, 2015 ... MATTHEW MAGUIRE, et al., ... The Securities and Exchange Commission (SEC)
brought this civil ... 1933 (Securities Act), 15 U.S.C. § 77a et seq., and the
Securities Exchange Act of ... Management ..... After the Supreme Court decided
Janus Capital Group, Inc. v. First .... 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
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.
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.
States Securities and Exchange Commission (“SEC” or the “Com- mission”) often
.... B. SEC v. Citigroup and Judicial Criticism of Neither-Admit-Nor-Deny.
Although SEC ... 1984). 25. Linda Chatman Thomsen et al., The Expanding Role
of Judges in Settlement and Beyond, ..... See S.E.C. v. Pentagon Capital Mgmt
Jul 30, 2015 ... Boilermakers Local 154 Retirement Fund, et al. v. Chevron Corp., et al., 466 ....
Pentagon Capital Management, 194. SEC v. Primary Global .... The Securities
and Exchange Commission (“SEC”) is the principal enforcer of the.
Finally, the Iourth part provides the analysis oI Janus Capital Group v. ... 1.2
Secondary Liability Provisions in the Securities Exchange Act of 1934 1.2.1
Section 9 ..... In Re Revalee et al 37 , three persons Revalee, Molton and
Dworschak agreed to ..... Pentagon Capital Management PLC 68 the District
Court oI New York Ior ...