Exchange Capital Management, Inc.

• Securities and Exchange Commission, Plaintiff-Appellee, v. Jt Wallenbrock & Associates; Citadel Capital Management Group, Inc., Defendants, and Larry Toshio Osaki; Van Y. Ichinotsubo, Defendants-Appellants., 440 F.3d 1109 (9th Cir. 2006)

Huey P. Cotton and Christine E. Field, Cozen O'Connor, Los Angeles, CA, for the defendants-appellants. Mark Pennington, Assistant General Counsel, Se...

• Federal Circuits

• Commercial Capital Bancorp, Inc. Announces Agreement to Acquire Lawyers Asset Management; Exchange Balances to be Deposited at Commercial Capital Bank; Increases Bank's Business Transaction Account Deposits.

IRVINE, Calif. -- Commercial Capital Bancorp, Inc. (the "Company"), (NASDAQ:CCBI), and Lawyers Asset Management, Inc. ("LAMI") announced today the sig...

• Business Wire
• January 20, 2006

• Securities and Exchange Commission, Plaintiff-Appellee, v. Michael W. Berger, Defendant-Appellant, Manhattan Investment Fund Ltd. and Manhattan Capital Management, Inc., Defendants., 322 F.3d 187 (2nd Cir. 2003)

Darren T. Kaplan (Donald Joseph Cayea, on the brief), Brand, Cayea & Brand, LLC, New York, NY, for Defendant-Appellant. Eric Summergrad, Deputy Solic...

• Federal Circuits

• Securities and Exchange Commission, Plaintiff-Appellee, v. J.T. Wallenbrock and Associates; Larry Toshio Osaki; Van Y. Ichscinotsubo; Citadel Capital Management Group, Inc., Defendants-Appellants., 313 F.3d 532 (9th Cir. 2002)

Giovanni P. Prezioso, Meyer Eisenberg, Jacob H. Stillman, and Mark Pennington, Securities and Exchange Commission, Washington, DC, for the appellee. ...

• Federal Circuits

• Wells Fargo Bank, N.A., et al.; Notice of Application and Temporary Order

Summary of Application: Applicants have received a temporary order exempting them from section 9(a) of the Act, with respect to an injunction entered against Wells Fargo Bank, N.A. (``Wells Fargo Bank'') on December 9, 2011 by the United States District Court for the District of New Jersey (``Injunction'') until the Commission takes final action on an application for a permanent order. Applicants also have applied for a permanent order. Applicants: Wells Fargo Bank, First International Advisors, LLC (``First International''), Metropolitan West Capital Management, LLC (``Metropolitan West''), Golden Capital Management, LLC (``Golden Capital''), Alternative Strategies Brokerage Services, Inc. (``Alternative Strategies Brokerage''), Alternative Strategies Group, Inc. (``Alternative Strateg...

• Federal Register Nbr. 76 FR 78052, December 15, 2011
• Notices
• Securities and Exchange Commission

• Fed. Sec. L. Rep. P 90,343 Securities and Exchange Commission v. John Gardner Black; Devon Capital Management, Inc.; Financial Management Sciences, Inc., South Butler County School District; Daniel Boone Area School District; Tyrone Area School District; Blacklick Valley School District; Harmony Area School District; Penn Cambria School District; Penns Manor School District; Northern Lebanon School District * , Appellants Bellefonte Area School; Cornwall-Lebanon School District; Cumberland Valley; Fleetwood Area School; North Hills School District; Harrisburg Authority; City of Harrisburg; St Johns Welfare; Lincoln Consolidated School; Nice Community School; Yale Public School; Bradford Regional Medical Center; Ravenswood Hospital Medical Center; University of Scranton ** Penn Manor School District; School District of Lancaster ***, 163 F.3d 188 (3rd Cir. 1998)

Richard R. Nelson, II (Argued), Cohen & Grigsby, Pittsburgh, PA, for appellants. Richard A. Finberg, Malakoff, Doyle & Finberg, Pittsburgh, PA, for a...

• Federal Circuits

• Fed. Sec. L. Rep. P 93,927 Securities and Exchange Commission, Plaintiff-Appellee, v. Everest Management Corporation Et Al., Defendants-Appellees, Competitive Associates, Inc. and Competitive Capital Corporation, Applicants for Intervention-Appellants., 475 F.2d 1236 (2nd Cir. 1972)

Meyer Eisenberg, Washington, D. C. (D. Barry Morris and Lawler, Sterling & Kent, Washington, D. C., on the brief), for applicants for intervention-app...

• Federal Circuits

• Regulators Looking Into Pequot Trades

WESTPORT, Conn. (HedgeWorld.com) - A front-page story in the New York Times today claimed the Securities and Exchange Commission is investigating more than a dozen instances in which hedge fund Pequot Capital Management Inc. bought or sold short company shares just before those companies announced mergers, and that the resulting stock price gains or losses benefited Pequot. In other words, according to the Times story, the SEC is looking into whether Pequot engaged in insider trading. Pequot denied the allegations in a strongly worded statement that labeled the Times' publication of the allegations "outrageous.

• Daily News; White Plains
• June 24, 2006

• Initial Public Offerings Planned for the Coming Week

BPW Acquisition Corp. - Stamford, Conn., 37.5 million units, $10 each, managed by Citigroup. Proposed AMEX symbol: BPW.U. Business: A blank-check company formed to effect a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination. Global Alternative Asset Management Inc. - Wayne, Pa., 15 million units, $10 each, managed by EarlyBird Capital Inc. Proposed AMEX symbol: GLE.U. Business: A blank-check company formed to acquire a business focused on the alternative asset management sector.

• Press Telegram
• February 24, 2008

• Sec Case Against Entrust Fund Nears Settlement

WASHINGTON (HedgeWorld.com) - The Securities and Exchange Commission's civil case against purported hedge fund Entrust Capital Management Inc. and its principals is close to being settled, as court documents were filed to stay the case while negotiations are finalized by both parties. SEC commissioners will formally approve the agreement within the next two months, bringing to an end the regulator's civil fraud lawsuit against the Worcester, Mass.-based asset management firm, where approximately $15 million in clients' assets was either misappropriated by the fund's principals or lost in equity trades gone bad, according to the suit.

• Daily News; White Plains
• September 21, 2006