www.sec.gov/litigation/litreleases/2008/lr20632.htm

Jul 1, 2008 ... Securities and Exchange Commission v. ... Northshore Asset Management, et al., CV 05-2192 (WHP) (S.D.N.Y.), ... Northshore, alleging that, in April 2003, defendant Northshore Asset Management LLC ("Northshore") and its ...

www.sec.gov/litigation/complaints/2018/comp-pr2018-153.pdf

Aug 14, 2018 ... Plaintiff Securities and Exchange Commission (the “Commission”) ... James P. Scherr (“Scherr”) and his firm, Defendant Core Performance Management, LLC ... themselves as asset managers for retail investors when, in fact, they ...... V. Order Defendants to pay civil penalties under Section 20(d) of the ...

www.sec.gov/litigation/litreleases/2018/lr24291.htm

Sep 28, 2018 ... Securities and Exchange Commission v. Goldsky Asset Management, LLC and Kenneth Grace, No. 18-civ-8870 (S.D.N.Y., filed September 27, ...

apps.americanbar.org/buslaw/newsletter/0065/materials/pp1.pdf

May 4, 2007 ... 1 The Securities and Exchange Commission, as a matter of policy, disclaims ... SEC v. Collins & Aikman Corporation, David A. Stockman, J. Michael Stepp, ...... Northshore Asset Management et al. .... In the Matter of Smith Barney Fund Management LLC and Citigroup Global Markets, Inc. ....................92.

www.sec.gov/litigation/litreleases/2013/lr22650.htm

Mar 19, 2013 ... Litigation Release No. 22650 / March 19, 2013. Securities and Exchange Commission v. Sigma Capital Management, LLC et al., Civil Action ...