Securities And Exchange Commission related docs Documents related to the Securities And Exchange Commission. This includes filings, administrative rules, related law, correspondence, complaints, investigations, prosecutions, penalties. Documents which related to issues involving hedge funds may be referenced here. We will also try to include information regarding Congressional oversight of the Commission, as well as career tracking of the most senior officials of the SEC with respect to their roles in the administration of justice as such intersect with misconduct in Federal Bankruptcy Courts. DocumentsDate addedHow low can you get? One of the lawyers at Dewey & LeBoeuf actually was stupid enough to get caught in securities fraud. Sure, securities fraud is bad enough of a crime. Violating the sanctity of the client relationship by using those secrets for profit is "officially" one of the worst things a lawyer can do. (outside of complaining about client overbilling, sorry couldn't resist)
D&L is making themselves pretty famous here on the pages of BankruptcyMisconduct and their future is so bright, we've got to wear nose plugs. If Dewey LeBoeuf intentionally wants to take on partners with at best questionable ethics track record, maybe this activity wasn't such an aberration? This letter binds Christopher Cox, then Chairman of the Securities and Exchange Commission - together with previously notified SEC officers Linda Chatman Thomsen, then director of the Enforcement Division, and Marc J. Fagel - to the unforgettable cover up of SEC violations involving the multi billion dollar hedge fund known as Oaktree Capital, and their conflicted professionals.
Sure, it wasn't as big as Bernie Madoff's fraud. But reported violations in these letters were simpler to understand and prove than those by Harry Markopoulos against the Madoff et al Ponzi scheme. There is no reasonable explanation for the SEC failing to address this clear matter without accounting for corrupt motives on the part of some lawyers within the SEC. Only a Federal Special Prosecutor can unravel the Honest Services Fraud by public officials on this one. What other paper trails are out there? What, me Wonder? This letter was self titled "SECAURCABsen3.pdf" and referenced the previously written and signed complaint letters SECAURHBDreq1.pdf and SECAURHBDreq1sup.pdf.This document lists numerous incontrovertible SEC Violations by a Registrant named Aureal, Inc. in two color coded tables. It details conflicts of interest among numerous professionals in connection with the preparation of clearly false filings to the SEC. The conflict of interest involves a lawfirm simultaneously representing Aureal, Inc. as well as the hedge fund which took control of Aureal - and it's money - to the exclusion of minority stockholders. SEC filings falsely omitted the resignation of directors due to cause, and the appointment of replacement directors who were operatives of the hedge fund. These violations are far worse than the violations which lead to the firing of "Carly" Fiorina when she was CEO of Hewlett-Packard. ( This document entitled SECAURHBDreq1sup.pdf is a supplemental letter delivered to the SEC which expands upon the SEC Violations as originally reported in the letter entitled SECAURHBDreq1.pdf ) This document is a letter requested by Marc J. Fagel, the associate Regional Director for the Securities and Exchange Commission, during the course of a phone call which covered failures to comply with the mandatory reporting of the resignation of directors by the public company Aureal, Inc. Such facts being far more egregious than the facts surrounding the enforcement action against HP for failing to disclose the reason behind a director resignation as stated in the press release by Marc J. Fagel and Linda Chatman Thomsen of the SEC. Significantly, this letter details the control relationship over the non-complying Registrant by a multi-billion dollar hedge fund known as Oaktree Capital. The resulting actions of the SEC will indicate whether the bold pronouncements by Ms. Thomsen re: firm regulatory action against hedge funds will truely apply to all such entities, including: hedge funds which hire former U.S. government attorney employees of the DOJ for services related to the acts. This document is self entitled SECAURHBDreq1.pdf as referenced during subsequent communications. You can download or view a redacted version of which eliminated some personal address and phone information by clicking on the buttons below. |
Latest Documents
|
Most Downloaded
- CA Bar Complaint (13031)
- SONICblue - A Claims Trader's Fees Reimbursed for Alerting about Attorney Misconduct (10750)
- Haas v. Romney 2nd Amended Complaint (10280)
- CA Bar **Revised** Complaint (9399)
- SEC filings by client of PriceWaterhouseCoopers and HBD (9136)
- Doug Pick Esq. advice on Death Threats (9089)
- Judicial Complaint against Judge Paul G. Hyman by Mary Alice Gwynn (8682)
- Shock! Peck's Lehman case colored by fraud? (8411)
- SEC - so simple even a Caveman can see it! (8143)
- Bharara Gets Compaint On Judge Lippmann (8130)