Web Results

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 ...

www.sec.gov/litigation/litreleases/2012/lr22262-opinion.pdf

Feb 14, 2012 ... SECURITIES AND EXCHANGE COMMISSION. New York Regional Office .... 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 ..... which required that trades be placed by 4:00 p.m. ET in order to. 19.

www.sec.gov/litigation/litreleases/2012/lr22314.htm

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.).

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 ...

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

Apr 9, 2015 ... Matthew Maguire, et al., Defendants. ... The Securities and Exchange Commission (SEC) brought this civil ... Management Solutions International, Inc. ( MSI), another wholly ..... Pentagon Capital Mgmt. PLC, 725 F.3d 279, 287 (2d Cir. 2013) (“[S]ubsection (b) ․ was the only subsection at issue in Janus.

www.telegraph.co.uk/finance/newsbysector/banksandfinance/9184684/Hedge-fund-Pentagon-Capital-Managements-fine-is-increased-to-100m.html

Apr 3, 2012 ... Lewis Chester, who ran Pentagon Capital Management ... The Securities Exchange Commission issued charges against Pentagon in 2008 ...

dealbook.nytimes.com/2008/03/28/pentagon-capital-to-close-its-doors

Mar 28, 2008 ... Pentagon Capital Management, a 1 billion pound ($2 billion) hedge fund ... trading investigation by the Securities and Exchange Commission.

blogs.orrick.com/securities-litigation/tag/southern-district-of-new-york

May 26, 2016 ... In Securities Exchange Commission v. ... New York requiring defendant Joseph Contorinis, a former hedge fund manager at Jeffries & Co., ... of the '33 Act. The significance of IndyMac was felt in New Jersey Carpenters Health Fund, et al. v. Residential Capital, et al., No. ..... Pentagon Capital Mgmt · SEC v.

www.debevoise.com/~/media/files/insights/publications/2014/07/insider%20trading%20%20disclosure%20update/files/view%20insider%20trading%20%20disclosure%20update%20%20july%2020__/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.