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 ...
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.
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.).
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 ...
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.
Apr 3, 2012 ... Lewis Chester, who ran Pentagon Capital Management ... The Securities Exchange Commission issued charges against Pentagon in 2008 ...
Mar 28, 2008 ... Pentagon Capital Management, a 1 billion pound ($2 billion) hedge fund ... trading investigation by the Securities and Exchange Commission.
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.
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.