Search for: "Pentagon Capital Management PLC" Results 1 - 5 of 5
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
Time is Money: Second Circuit Vacates SEC’s $38 Million Fine Against Hedge Fund Pentagon Capital Management
13 Aug 2013, 9:00 am by Kristen Bartlett
Pentagram Capital Management PLC found that any profits Pentagon earned more than five years before the SEC filed its suit could not be included in the penalty. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
District Court Emphasizes Differences Between Late Trading and Market Timing in SEC Action
19 Feb 2012, 11:44 am by Securites Lawprof
On Feb. 14, Judge Sweet (S.D.N.Y.) handed down a 128 page opinion finding that Pentagon Capital Management PLC (PCM) and Lewis Chester violated federal securities laws by orchestrating a scheme to defraud mutual funds through late trading. [read post]
Securities Law Prof Blog - http://lawprofessors.typepad.com/securities/
You Need to Be Careful When Settling an SEC Administrative Case
15 Jan 2013, 11:00 am by Ernest E. Badway
Pentagon Capital Management PLC, 2010 WL 985205 (SDNY March 17, 2010), the court held that the orders instituting proceedings were admissible to defend against SEC allegations. [read post]
Securities Compliance Sentinel - http://securitiescompliancesentinel.foxrothschild.com
Making a Statement: The Two Faces of Janus in the SDNY
7 May 2013, 8:00 am by Justin Bagdady
Pentagon Capital Mgmt. [read post]
Securities Litigation and Regulatory Enforcement Blog - http://blogs.orrick.com/securities-litigation/
New York Law Journal: Decisions of Interest March 29, 2010
29 Mar 2010, 1:48 am
Pentagon Capital Management PLC U.S. [read post]
New York Supreme Court Criminal Term Library - http://crimlawlib.blogspot.com/