Article: Securities Enforcement: SEC's Cutler Calls for Additional Authority on Civil Penalties.

Article: Court Rejects SEC's Imposition of Civil ...
Mondaq Business Briefing;  December 12, 2005 ;     700+ words ... ... Judge. Instead, the SEC sought civil penalties in federal court after ... court criticized the SEC's imposition of civil penalties. The federal securities ... administrative proceeding, the SEC imposed third tier civil penalties against the directors ...

Article: SEC Announces Guidelines for Imposing Civil ...
The Bond Buyer;  January 5, 2006 ;     700+ words ... ... commission should impose civil penalties in its enforcement ... agreed to and which SEC enforcement lawyers ... conference yesterday, SEC chairman Christopher ... whether to impose civil penalties on a company. One ... fewer or greater civil penalties for public ...

Article: Aprisma Settles SEC Investigation; SEC Does Not ...
PR Newswire;  February 27, 2003 ;     700+ words ... ... investigation initiated by the SEC in January of 2002. The settlement with the SEC does not require any further ... statements and does not impose any civil penalties or fines. Pursuant to the ... administrative order from the SEC to cease and desist from committing ...

Article: New SEC policy on civil penalties for ...
Strategic Finance;  March 1, 2006 ;     700+ words ... ... dollar-level aspects of SEC Chairman Cox's executive ... second reform initiative the SEC announced earlier in January: a new policy on civil penalties. There the Commission was ... violation is justification for the SEC coming down harder on the ...

Article: SEC OBTAINS DEFAULT JUDGMENT, FULL DISGORGEMENT, AND ...
US Fed News Service, Including US State News;  September 30, 2009 ;     546 words ... ... Securities and Exchange Commission ("SEC"). The SEC alleged that Flores and MRI perpetrated ... of the securities laws, imposed civil penalties of $650,000 against MRI and ... interest of $259,738.63. The SEC filed its complaint against MRI ...

Article: Spitzer Files Criminal Charges, SEC Seeks Civil ...
Daily News;  September 16, 2003 ;     489 words ... ... state prison. In addition, the SEC alleges that Mr. Sihpol violated ... the Commission is seeking civil penalties, disgorgement and other measures ... actions," Mr. Cutler said. The SEC has been concerned about state ... prohibited by New York law and SEC regulation, according to the ...

Article: Judge tosses fraud charges; SEC seeks $785 million in ...
Albany Times Union (Albany, NY);  December 1, 2005 ;     700+ words ... ... false record keeping and failing to maintain proper internal controls at HealthSouth. The SEC has said it is seeking $785 million in civil penalties against Scrushy, but it wasn't immediately clear how Johnson's ruling could affect the ...