July 01, 2009
Cuomo Secures Agreement With Leading Pension Fund Advisor Pacific Corporate Group Holdings To Adopt Code Of Conduct And Eliminate Pay-to-play In Pension Funds Nationwide
… staff. The SCP transaction is alleged as the basis for Martin Act and other charges in the 123-count indictment returned by … against Morris and Loglisci. Wissman has pled guilty to Martin Act securities fraud charges for conduct related to …
July 07, 2009
Announces Release Of Assurances Of Discontinuance With Two More Firms In His Investigation Of Auction Rate Securities - UBS AOD FINAL (signed) 12.11.08
… pursuant to Article 23-A of the General Business Law (the "Martin Act"), ofUBS Securities LLC and UBS Financial Services, Inc. … 18. The foregoing acts and practices ofUBS violated the Martin Act, Article 23-A of the General Business Law. 19. The …
July 01, 2009
Secures Agreement With Leading Pension Fund Advisor Pacific Corporate Group Holdings To Adopt Code Of Conduct And Eliminate Pay-to-play In Pension Funds Nationwide - PCG AOD FINAL EXECUTED
… pursuant to Article 23-A of the General Business Law (the "Martin Act"), into allegations of "pay-to-play" practices and … with enterprise corruption and multiple violations of the Martin Act, money laundering, grand larceny, falsifying …
July 07, 2009
JP Morgan Assurance of Discontinuance - JP Morgan Assurance of Discontinuance
… pursuant to Article 23-A of the General Business Law (the "Martin Act"), of lPMorgan Chase & Co. and its subsidiaries and … 349 andlor Executive Law § 63(11) and will comply with the Martin Act, General Business Law § 349 and Executive Law § …

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