Author: Publisher: DIANE Publishing
ISBN: 1457806657
Category :
Languages : en
Pages : 13
Book Description
North American Clearing, Inc., et al.: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457806657
Category :
Languages : en
Pages : 13
Book Description
SEC Docket
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 1332
Book Description
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Author: H. David KotzPublisher: DIANE Publishing
ISBN: 1437921868
Category : Biography & Autobiography
Languages : en
Pages : 477
Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Simpson Capital Management, Inc., et al.: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457804646
Category :
Languages : en
Pages : 24
Book Description
Frederick J. O'Meally, et al: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457803275
Category :
Languages : en
Pages : 42
Book Description
Ricci V. Chicago Mercantile Exchange
Author: Federal Register
Author: Publisher:
ISBN:
Category : Delegated legislation
Languages : en
Pages : 1516
Book Description
United States of America Before the Securities and Exchange Commission in the Matter of Richard Whitney Et Al Doing Business in the Name of Richard Whitney and Company
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category :
Languages : en
Pages : 1696
Book Description
SEC News Digest
Author: Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 800
Book Description
Lists documents available from Public Reference Section, Securities and Exchange Commission.