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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.

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How 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)

Maybe this instance of SEC Fraud using Client Secrets was really just another case of Too Bad You Got Caught.

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? 

Download Dewey_LeBoeuf_lawyer_uses_client_secrets_for_SEC_fraud.pdf for free.

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.

"I am surprised that enforcement action has not yet been publicized regarding the surreptitious takeover and liquidation of a registrant by and for the benefit of a massive hedge fund."

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.

In an SEC filing, an artifice was used that tricked minority stockholders into believing that Aureal no longer had to make periodic and current reports to the SEC.  During this period of non conformance with SEC filing requirements, the registrant Aureal, apparantly acting as the mere alter ego of the hedge fund, never reported to the SEC that they would be liquidated and all of the remaining cash would go solely to the hedge fund.  Even worse, these SEC violations are inextricably intertwined with numerous false declarations sworn and filed by the conflicted lawfirm in the Aureal bankruptcy case.  Furthermore, these false SEC filings and false bankruptcy court filings were in furtherance of each other.

The SEC states clearly what their mission is.  We should believe that the SEC will not provide any special treatment to any hedge fund, no matter which former DOJ attorneys such hedge fund is employing.  If Martha Stewart goes to prison, one can only imagine what will happen to the colluding parties on this one.  Word to Linda: You lookin' so fine baby ... You clean up real nice!

 ( 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.