Securities and Exchange Commission Litigation Complaint: August 10, 2006

Securities and Exchange Commission Litigation Complaint: August 10, 2006
Title Securities and Exchange Commission Litigation Complaint: August 10, 2006 PDF eBook
Author
Publisher DIANE Publishing
Pages 17
Release
Genre
ISBN 1457803232

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Model Rules of Professional Conduct

Model Rules of Professional Conduct
Title Model Rules of Professional Conduct PDF eBook
Author American Bar Association. House of Delegates
Publisher American Bar Association
Pages 216
Release 2007
Genre Law
ISBN 9781590318737

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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.

SEC Docket

SEC Docket
Title SEC Docket PDF eBook
Author United States. Securities and Exchange Commission
Publisher
Pages 1112
Release 1989
Genre Securities
ISBN

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Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Title Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF eBook
Author H. David Kotz
Publisher DIANE Publishing
Pages 477
Release 2010-03
Genre Biography & Autobiography
ISBN 1437921868

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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.

Postgraduate Course in Federal Securities Law

Postgraduate Course in Federal Securities Law
Title Postgraduate Course in Federal Securities Law PDF eBook
Author
Publisher
Pages 1050
Release 2007
Genre Securities
ISBN

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The SEC Speaks in ...

The SEC Speaks in ...
Title The SEC Speaks in ... PDF eBook
Author
Publisher
Pages 1130
Release 2009
Genre Securities
ISBN

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Federal Securities Law Reporter

Federal Securities Law Reporter
Title Federal Securities Law Reporter PDF eBook
Author
Publisher
Pages 1036
Release 1941
Genre Mutual funds
ISBN

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