June 2011 – SEC ACTIONS

SUMMARY JUDGMENT GRANTED AGAINST SEC IN ARS CASE

Posted on June 30, 2011 by T. Gorman Posted in SECActions

Last week Morgan Keegan & Co. settled an administrative proceeding centered on the market crisis which claimed that the NAV calculations for certain investment funds made as the markets catapulted downward were false. In contrast, this week the firm prevailed …

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SEC CHARGES TWO CORPORATE OFFICERS WITH FINANCIAL FRAUD

Posted on June 29, 2011 by T. Gorman Posted in SECActions

A financial fraud complaint centered on claims that two senior executives of Basin Water, Inc. falsely inflated company revenue beginning before it was publically traded and continuing through the end of 2007 was filed by the SEC. Named as defendants …

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Tagged with: corporate officers, financial fraud, SEC enforcement

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Month: June 2011

SUMMARY JUDGMENT GRANTED AGAINST SEC IN ARS CASE

SEC CHARGES TWO CORPORATE OFFICERS WITH FINANCIAL FRAUD