Article: SEC Settles Charges Against JPMorgan; Commission Sues Two Ex-Employees.(News)

Article: J.P. Morgan Settles SEC Charges in Jefferson ...
M2 Presswire;  November 5, 2009 ;     700+ words ... ... SEC: J.P. Morgan Settles SEC Charges in Jefferson County, Ala. Illegal Payments Scheme; SEC Separately Charges Two Former ... swap agreement transactions with Jefferson County, Ala. This is the SEC's second enforcement action ...

Article: J.P. MORGAN SETTLES SEC CHARGES IN JEFFERSON ...
US Fed News Service, Including US State News;  November 12, 2009 ;     700+ words ... ... transactions with Jefferson County, Ala. This is the SEC's second enforcement ... action arising from Jefferson County's bond offerings ... 50 million to Jefferson County, and forfeit more ... termination fees. The SEC alleges that J ...

Article: SEC Documents Detail Jefferson County Probe.
The Bond Buyer;  December 18, 2007 ;     700+ words ... ... entered into by Jefferson County, Ala. The SEC yesterday asked ... exhibits is the SEC's order directing ... investigation of the Jefferson County transactions ... consultants. The SEC's main filing ... president of the Jefferson County Commission played ...

Article: Enforcement: SEC, SIFMA in Slugfest Over Municipal Swaps; ...
The Bond Buyer;  August 28, 2008 ;     700+ words ... ... extent to which the SEC has enforcement authority ... court case involving Jefferson County, Ala., muni bond ... the latest salvo, the SEC yesterday urged a federal ... and other charges the SEC filed April 30 against ... and a firm involved in Jefferson County muni bond deals and ...

Article: Enforcement: SEC Blasts Jefferson County ...
American Banker;  July 17, 2008 ;     700+ words ... ... finds the swaps Jefferson County sold earlier this ... therefore outside the SEC's jurisdiction ... connection with the Jefferson County bond offerings ... every turn, the SEC added. Langford ... comes after the SEC filed securities ... participation in Jefferson County's ...

Article: Enforcement: SIFMA Rips SEC Position in Jefferson ...
The Bond Buyer;  September 11, 2008 ;     700+ words ... ... extent to which the SEC has enforcement authority ... and other charges the SEC filed April 30 against ... formerly headed the Jefferson County Commission; Alabama ... certain bonds issued by Jefferson County," the group said. It added that the SEC has "ample statutory ...

Article: Jefferson County Case Continues: SEC Charges ...
The Bond Buyer;  May 1, 2008 ;     700+ words ... ... million in fees, the SEC said. The benefits ... Chatman Thomsen, the SEC's director of enforcement ... the former head of the Jefferson County Commission, helped ... remarketing agent for many Jefferson County bond offerings and served ... the county. But the SEC said that payment ...