Advertisement
YOU ARE HERE: LAT HomeCollectionsSecurities And Exchange Commission U S
IN THE NEWS

Securities And Exchange Commission U S

FEATURED ARTICLES
NEWS
January 25, 1996 | MATT LAIT and TRACY WEBER and DEXTER FILKINS, TIMES STAFF WRITERS
In an action unprecedented in the agency's history, the U.S. Securities and Exchange Commission Wednesday issued scathing reports accusing the Orange County Board of Supervisors and the county's former treasurer and assistant treasurer of repeatedly misleading and defrauding buyers of more than $2.1 billion in municipal securities. Former Treasurer Robert L. Citron, former Assistant Treasurer Matthew R.
ARTICLES BY DATE
BUSINESS
February 13, 2001
President Bush appointed Securities and Exchange Commission member Laura Unger as acting chairwoman of the agency, U.S. Rep. Michael G. Oxley (R-Ohio) said Monday. The only Republican commissioner on the panel, Unger will head the agency until Bush appoints a permanent chairman to replace Arthur Levitt, who resigned.
Advertisement
NEWS
January 25, 1996 | DEXTER FILKINS and SCOT J. PALTROW, TIMES STAFF WRITERS
It may have been historic, but the end of the Securities and Exchange Commission's yearlong investigation of Orange County officials' culpability in the bankruptcy was anything but dramatic. The SEC levied no fines, it imposed no penalties, it recommended no criminal action.
BUSINESS
February 6, 2001 | KATHY M. KRISTOF
Here are some of the significant initiatives by the Securities and Exchange Commission during Arthur Levitt's 7 1/2 years as chairman of the agency: Enforcement and Fair Dealing * Developed order-handling rules and limit-order protections to reduce stock price "spreads" in the Nasdaq market. * Adopted Regulation FD (for Fair Disclosure), prohibiting disclosure of corporate information to select analysts.
BUSINESS
March 24, 1996 | DEBORA VRANA, TIMES STAFF WRITER
Not since 1913 have times been so dark in Wheatland. On a hot August day that year, four men were killed when 4,000 angry hops pickers rioted and the state militia had to be called in. Now the hulking brown kilns that once roasted hops for beer stand silent as this Northern California town of 2,000 battles a much greater threat: the U.S. Securities and Exchange Commission. Wheatland is caught up in a sweep by the SEC, the agency that generally regulates stock exchanges and corporations.
BUSINESS
April 11, 1995 | SCOT J. PALTROW and JUBE SHIVER Jr., TIMES STAFF WRITERS
A committee of financial luminaries said in a report issued Monday that the way most stockbrokers are paid puts them in conflict with their customers' best interests. But they called the system "too deeply rooted" to do away with soon. Instead, the five-member committee on compensation practices, appointed by Securities and Exchange Commission Chairman Arthur Levitt Jr., proposed less radical steps aimed at taking away brokers' financial incentives for exposing customers to unnecessary risks.
NEWS
January 25, 1996 | MATT LAIT and TRACY WEBER, TIMES STAFF WRITERS
In an action unprecedented in the agency's history, the U.S. Securities and Exchange Commission on Wednesday issued scathing reports accusing the Orange County Board of Supervisors, its former treasurer and assistant treasurer of repeatedly misleading and defrauding the buyers of more than $2.1 billion in municipal securities. Former Treasurer-Tax Collector Robert L.
NEWS
May 12, 1995 | MICHAEL G. WAGNER and MARK PLATTE and MATT LAIT, TIMES STAFF WRITERS
The U.S. Securities and Exchange Commission has subpoenaed more than a dozen current and former Orange County officials, including supervisors and their aides, to testify as part of a broad investigation into whether financial advisers, bankers, underwriters and brokers may have been solicited for campaign contributions to obtain county contracts. SEC investigators are especially interested in the activities of Supervisor Roger R.
BUSINESS
February 13, 2001
President Bush appointed Securities and Exchange Commission member Laura Unger as acting chairwoman of the agency, U.S. Rep. Michael G. Oxley (R-Ohio) said Monday. The only Republican commissioner on the panel, Unger will head the agency until Bush appoints a permanent chairman to replace Arthur Levitt, who resigned.
BUSINESS
February 6, 2001 | KATHY M. KRISTOF
Here are some of the significant initiatives by the Securities and Exchange Commission during Arthur Levitt's 7 1/2 years as chairman of the agency: Enforcement and Fair Dealing * Developed order-handling rules and limit-order protections to reduce stock price "spreads" in the Nasdaq market. * Adopted Regulation FD (for Fair Disclosure), prohibiting disclosure of corporate information to select analysts.
BUSINESS
March 24, 1996 | DEBORA VRANA, TIMES STAFF WRITER
Not since 1913 have times been so dark in Wheatland. On a hot August day that year, four men were killed when 4,000 angry hops pickers rioted and the state militia had to be called in. Now the hulking brown kilns that once roasted hops for beer stand silent as this Northern California town of 2,000 battles a much greater threat: the U.S. Securities and Exchange Commission. Wheatland is caught up in a sweep by the SEC, the agency that generally regulates stock exchanges and corporations.
BUSINESS
March 24, 1996 | DEBORA VRANA, TIMES STAFF WRITER
Not since 1913 have times been so dark in Wheatland. On a hot August day that year, four men were killed when 4,000 angry hops pickers rioted and the state militia had to be called in. Now, the hulking brown kilns that once roasted hops for beer stand silent as this Northern California town of 2,000 battles a much greater threat: the U.S. Securities and Exchange Commission. Wheatland is caught up in a sweep by the SEC, the agency that generally regulates stock exchanges and corporations.
NEWS
January 25, 1996 | MATT LAIT and TRACY WEBER and DEXTER FILKINS, TIMES STAFF WRITERS
In an action unprecedented in the agency's history, the U.S. Securities and Exchange Commission Wednesday issued scathing reports accusing the Orange County Board of Supervisors and the county's former treasurer and assistant treasurer of repeatedly misleading and defrauding buyers of more than $2.1 billion in municipal securities. Former Treasurer Robert L. Citron, former Assistant Treasurer Matthew R.
NEWS
January 25, 1996 | DEXTER FILKINS and SCOT J. PALTROW, TIMES STAFF WRITERS
It may have been historic, but the end of the Securities and Exchange Commission's yearlong investigation of Orange County officials' culpability in the bankruptcy was anything but dramatic. The SEC levied no fines, it imposed no penalties, it recommended no criminal action.
NEWS
January 25, 1996 | MATT LAIT and TRACY WEBER, TIMES STAFF WRITERS
In an action unprecedented in the agency's history, the U.S. Securities and Exchange Commission on Wednesday issued scathing reports accusing the Orange County Board of Supervisors, its former treasurer and assistant treasurer of repeatedly misleading and defrauding the buyers of more than $2.1 billion in municipal securities. Former Treasurer-Tax Collector Robert L.
NEWS
January 24, 1996 | JAMES S. GRANELLI, TIMES STAFF WRITER
Federal securities regulators are expected to file civil charges today against Orange County, its former Treasurer-Tax Collector Robert L. Citron and his one-time top aide, Matthew Raabe, ending an extensive investigation into the worst municipal bankruptcy in U.S. history. At the same time, the U.S.
BUSINESS
March 24, 1996 | DEBORA VRANA, TIMES STAFF WRITER
Not since 1913 have times been so dark in Wheatland. On a hot August day that year, four men were killed when 4,000 angry hops pickers rioted and the state militia had to be called in. Now, the hulking brown kilns that once roasted hops for beer stand silent as this Northern California town of 2,000 battles a much greater threat: the U.S. Securities and Exchange Commission. Wheatland is caught up in a sweep by the SEC, the agency that generally regulates stock exchanges and corporations.
CALIFORNIA | LOCAL
February 11, 1995 | MARK LANDSBAUM, TIMES STAFF WRITER
Securities dealer Daniel Osborn denied Friday that he received fraudulent commissions while a business associate of convicted swindler Steven D. Wymer, as alleged in a civil complaint filed by the Securities and Exchange Commission. The SEC on Monday alleged that Osborn, through his broker-dealer DLO Securities Inc., formerly of Irvine, had charged excessive and undisclosed markups in transactions with Wymer's Institutional Treasury Management Inc.
NEWS
May 12, 1995 | MICHAEL G. WAGNER and MARK PLATTE and MATT LAIT, TIMES STAFF WRITERS
The U.S. Securities and Exchange Commission has subpoenaed more than a dozen current and former Orange County officials, including supervisors and their aides, to testify as part of a broad investigation into whether financial advisers, bankers, underwriters and brokers may have been solicited for campaign contributions to obtain county contracts. SEC investigators are especially interested in the activities of Supervisor Roger R.
BUSINESS
April 11, 1995 | SCOT J. PALTROW and JUBE SHIVER Jr., TIMES STAFF WRITERS
A committee of financial luminaries said in a report issued Monday that the way most stockbrokers are paid puts them in conflict with their customers' best interests. But they called the system "too deeply rooted" to do away with soon. Instead, the five-member committee on compensation practices, appointed by Securities and Exchange Commission Chairman Arthur Levitt Jr., proposed less radical steps aimed at taking away brokers' financial incentives for exposing customers to unnecessary risks.
Los Angeles Times Articles
|