October 23, 2003
… a staff of 95 people charged with enforcing New York's Martin Act and other laws to protect investors in the securities and …
October 02, 2003
… guilty in State Supreme Court to a violation of New York's Martin Act, General Business Law Section 3.52-c(6). The count is a … willfully violated Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of …
May 13, 2003
… to disclose the receipt of those shares violated the Martin Act, New York's securities law. Without admitting or denying …
November 20, 2003
… advisor are charged with violations of New Yorks Martin Act, General Business Law and Executive Law. The suit seeks …
December 02, 2003
… Attorney General's lawsuit cites violations of New York's Martin Act, General Business Law and Executive Law. The suit seeks a …
April 28, 2003
… harmed investors, in a manner which violated New York's Martin Act; SSB ignored internal warnings that its research …
November 25, 2003
Former Trust Company Officials Arrested In Late Trading Fraud November 25, 2003 New York Attorney General Spitzer today announced felony charges against three senior executives of Security Trust Co. N.A., a Phoenix, Arizona-based company that processes …
September 03, 2003
… after the market closes. Late trading is prohibited by the Martin Act and SEC regulations because it allows a favored investor …
May 14, 2003
… FBI's Buffalo Cyber Task Force and Assistant U.S. Attorney Martin Littlefield. Earlier this year, the Attorney General …
November 21, 2003
… Assistant Attorneys General Jane Drummey, Monica Hickey-Martin and Mark P. Cannon, who are assigned to the Medicaid …
December 02, 2003
… that: INTRODUCTION 1. Pursuant to the provisions of the Martin Act (Article 23-A of the General Business Law), Eliot … of the State of New York, commonly referred as the “Martin Act,” in general prohibits fraud in the offer and sale …
October 09, 2003
… of Article 23-A of the General Business Law (“the Martin Act”) and §63(12) of the Executive Law, Eliot Spitzer, …
November 25, 2003
… as well as rules promulgated under the Investment Company Act of 1940. I am informed that Rule 22c-1(a) under the Investment Company Act requires registered mutual funds, and their principal … indicated that the trade was on behalf of Lee Smart Cook Martin Paterson P.S. Inc. 401K Plan & Trust, when in reality …
November 20, 2003
… § 1301, Article 23-A of the General Business Law ("The Martin Act"), section 349 of the General Business Law (“GBL”), and … business trust registered under the Investment Company Act of 1940 as an open-end investment company. The PBHG Trust …
November 12, 2003
… intent to abandon the property and of some affirmative act or omission demonstrating that intention.” Hoelzer v. … ownership of the property. See Jasper Township v. Martin, 126 N.W. 437, 438 (Mich. 1910) (“mere permissive …
February 20, 2003
… DC 20460 Re : Notice of Intent to Sue Under Clean Air Act 6 304(b)(2 ) Dear Administrator Whitman: Representing the … we notify you, pursuant to section 304(b)(2) of the Act, 42 U.S.C. § 7604(b)(2), of our intent to sue EPA for its … A ., Aroonwilas, A., Gelowitz, D ., Barrie, J ., and Martin, C. "Test results from a CO2 extraction pilot plant at …
