Thu 24 Jan, 2019 | Resources by Carl Schoeppl vCard
137 S.Ct. 1635 Supreme Court of the United States Charles R. KOKESH, Petitioner v. SECURITIES AND EXCHANGE COMMISSION. No. 16–529. | Argued April 18, 2017. | Decided June 5, 2017. Synopsis Background: Securities and Exchange Commission (SEC) brought an enforcement action against the owner of two investment adviser firms for misappropriation of funds from business development companies in violation of federal securities laws. The United States District Court for the District of New Mexico, Stephan …
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Thu 24 Jan, 2019 | Resources by Carl Schoeppl vCard
133 S.Ct. 1216 Supreme Court of the United States Marc J. GABELLI and Bruce Alpert, Petitioners v. SECURITIES AND EXCHANGE COMMISSION. No. 11–1274. | Argued Jan. 8, 2013. | Decided Feb. 27, 2013. Synopsis Background: Securities and Exchange Commission (SEC) brought enforcement actions against investment advisors, seeking civil penalties for aiding and abetting fraud. The United States District Court for the Southern District of New York, Deborah A. Batts, J., 2010 WL 1253603, dismissed claims …
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Thu 24 Jan, 2019 | Resources by Carl Schoeppl vCard
2019 WL 302867 Only the Westlaw citation is currently available. United States Court of Appeals, Tenth Circuit. SECURITIES AND EXCHANGE COMMISSION, Plaintiff-Appellee, v. Charles D. SCOVILLE, Defendant-Appellant, and Traffic Monsoon, LLC, Defendant. Peggy Hunt, Receiver – Amicus Curiae. No. 17-4059 | FILED January 24, 2019 Appeal from the United States District Court for the District of Utah (D.C. No. 2:16-CV-00832-JNP) Attorneys and Law Firms Loren Washburn (Micah S. Echols and Tom W. Stewart, Marquis Aurbach …
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Wed 23 Jan, 2019 | Resources by Carl Schoeppl vCard
DISCLAIMER This is a report of the staff of the U.S. Securities and Exchange Commission. The Commission has expressed no view regarding the analysis, findings, or conclusions contained herein. Report available on the web at www.sec.gov/reports CONTENTS Message from the Co-Directors ………………………………………………………………………………………………1 Introduction …………………………………………………………………………………………………………………………..6 Initiatives ………………………………………………………………………………………………………………………………6 Focus on the Main Street Investor …………………………………………………………………………………..6 Policing Cyber-Related Misconduct…………………………………………………………………………………..7 The Share Class Selection Disclosure Initiative………………………………………………………………….8 Discussion and Analysis of Fiscal Year 2018………………………………………………………………………………9 Overall Results …
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