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Jack Nicholes D Uva

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March 16, 1994 | From Times Staff and Wire Reports
Court Holds Fund Operators in Contempt: The Securities and Exchange Commission's Los Angeles office said U.S. District Judge Robert Takasugi issued a contempt order against Jack Nicholes D'Uva, Mark Thomas Taggatz and Alliance Global Asset Management for violating previous court orders. The defendants were charged a year ago with the fraudulent offering and sale of partnership units in nine non-existent mutual funds.
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BUSINESS
March 16, 1994 | From Times Staff and Wire Reports
Court Holds Fund Operators in Contempt: The Securities and Exchange Commission's Los Angeles office said U.S. District Judge Robert Takasugi issued a contempt order against Jack Nicholes D'Uva, Mark Thomas Taggatz and Alliance Global Asset Management for violating previous court orders. The defendants were charged a year ago with the fraudulent offering and sale of partnership units in nine non-existent mutual funds.
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BUSINESS
February 19, 1993 | From Times Staff and Wire Reports
SEC Seeks to Close Century City Firm: The SEC charged Alliance Global Asset Management and its owners, Jack Nicholes D'Uva and Mark T. Taggatz, with securities laws violations. The complaint also named Nikko & Co. Ltd., another company owned by the same men that is unrelated to the Japanese investment firm with a similar name. The complaint, filed in U.S. District Court in Los Angeles, alleged that D'Uva and Taggatz, through a previous company called Prime Acquisition Group, sold at least $1.
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