Try our Advanced Search for more refined results
- Law360
- Law360 UK
- Law360 Pulse
- Law360 Employment Authority
- Law360 Tax Authority
- Law360 Insurance Authority
- Law360 Real Estate Authority
- Law360 Healthcare Authority
- Law360 Bankruptcy Authority
- Products
- Lexis®
- Law360 In-Depth
- Law360 Podcasts
- Rankings
- Leaderboard Analytics
- Regional Powerhouses
- Law360's MVPs
- Women in Law Report
- Law360 400
- Diversity Snapshot
- Practice Groups of the Year
- Rising Stars
- Titans of the Plaintiffs Bar
- Sections
- Adv. Search & Platform Tools
- About all sections
- Browse all sections
- Banking
- Bankruptcy
- Class Action
- Competition
- Employment
- Energy
- Expert Analysis
- Insurance
- Intellectual Property
- Product Liability
- Securities
- Beta Tools
- Track docs
- Track attorneys
- Track judges
Securities and Exchange Commission v. Macquarie Capital (USA), Inc. et al
Case Number:
1:15-cv-02304
Court:
Nature of Suit:
Judge:
Firms
Government Agencies
-
July 06, 2015
SEC Gives Macquarie Waiver From DQ Over Puda Coal IPO
The U.S. Securities and Exchange Commission granted Macquarie Capital USA Inc. a full waiver from disqualification from private securities transactions Monday following the company's agreement to pay $15 million to settle claims over its allegedly botched underwriting of a Chinese coal company's stock offering.
-
May 19, 2015
Macquarie Capital Gets 60-Day Reg D Waiver After $15M Fine
A U.S. Securities and Exchange Commission division has granted Macquarie Capital USA Inc. a temporary reprieve from being disqualified from private securities transactions after it signed a $15 million settlement with the agency over its allegedly botched underwriting of a Chinese coal company's stock offering.
-
March 27, 2015
NY Brokerage To Pay SEC $15M For Offering Fraud
A New York-based brokerage firm agreed Friday to pay $15 million to settle the U.S. Securities and Exchange Commission's charges it underwrote a public offering for a purported Chinese coal firm despite knowing the company's offering materials contained false information, according to the SEC.