March 2, 1996 |
In a move certain to ruffle the securities industry, the head of the National Assn. of Securities Dealers' new regulatory division said Friday that she plans to give investors direct access to stockbrokers' disciplinary records via the Internet. In an interview, Mary L. Schapiro also said she intends to make it easier to alert the NASD to rule violations by brokers and Nasdaq traders. She said the NASD will soon encourage and investigate complaints sent by electronic mail.
November 2, 2000 |
New federal "fair-disclosure" rules for corporate information won't lead to witch hunts for potential violators, a top securities cop told Wall Street on Wednesday. But he warned that officials will remain vigilant in enforcing the controversial regulations. "I hope to convince you there is no need for fear or hysteria" over the new rules, Richard Walker, director of the Securities and Exchange Commission's enforcement division, said in remarks prepared for a Securities Industry Assn.
February 15, 1995 |
The Securities and Exchange Commission's investigation into whether municipalities are providing proper disclosures about their financial problems and investments has expanded to Arizona's Maricopa County, securities industry sources confirmed Tuesday. The county that includes Phoenix is the latest target of scrutiny by the SEC, on top of its current probes of Orange County and the District of Columbia, knowledgeable officials said.
CALIFORNIA | LOCAL
August 2, 2006 |
The head of the Los Angeles County Sheriff's Department civilian oversight office said Tuesday that he has concerns about what motivated sheriff's officials to try to conceal Mel Gibson's anti-Jewish statements and belligerent behavior from the public and is troubled by the department's initial description of the arrest as uneventful.
January 15, 1994 |
As political tension mounted last summer between factions that either favored or opposed a commercial airport at the El Toro Marine Corps Air Station, a regional planning agency suppressed parts of an FAA-funded study showing that El Toro had the greatest potential to succeed of three area military bases coming available for conversion.
July 29, 1994 |
Thirty-one years ago, the U.S. Supreme Court laid down the law: Prosecutors have to give defendants any information that could help exonerate them. Since then, "Brady motions"--named after the landmark Brady vs. Maryland decision--have become a central element in criminal law in the United States. Thousands are filed every year but none so widely watched as the one scheduled to be heard this morning in the O.J. Simpson murder case.
CALIFORNIA | LOCAL
February 15, 2006 |
The Los Angeles Police Commission's new policy of withholding officers' names applies not only to shootings but also to violent encounters in which police use their fists, batons, flashlights, rubber bullets or anything else at their disposal to subdue suspects, the commission's executive director said Tuesday. And the privacy protection applies not just to the officer who used the force but also to all others who played a key role in the incident.
March 3, 1995 |
Fred G. Luke, chairman and chief executive of Nona Morelli's II Inc., was arrested this week in Denver and charged with two felony counts of making false statements to Colorado casino regulators. Luke, 48, was seized while in Denver to appear in a civil case involving Irvine-based Nona Morelli's and its former owner, Frank Morelli Sr. The Colorado Division of Gaming charged Luke with failing to disclose a lawsuit in his October, 1993, application for a casino license.
CALIFORNIA | LOCAL
February 13, 1999 |
A subdivision in Orange where an unstable hillside is threatening 30 houses was built on land previously damaged by two large landslides--a fact known to developers and city officials, but not to home buyers. In fact, the very spots where geologists 20 years ago documented those landslides were later converted into lots for more than a dozen houses, and the unstable hill now poses a threat to even more homes.
March 4, 1998 |
Philip Morris Chairman Geoffrey C. Bible, continuing his testimony Tuesday in a big tobacco trial here, was confronted with a blizzard of internal company memos concerning the narcotic effects of smoking, including one document that compared nicotine to morphine and cocaine, and described cigarettes as "nicotine delivery devices" along with nicotine patches and gum.