The Buildings Department first brought administrative charges against Mr. Scarano in 2008 based on what it said were misleading documents he provided on two projects.
Mark C. Zauderer, a trial lawyer in New York, said, "Defense lawyers are going to be keenly aware that where there is evidence of misleading documents, it will be difficult to rely on the defense that nobody knew it was illegal".
In 2005, misleading documents, purportedly intended for internal-use only, were again produced to the SEC.
The Director's misconduct is the third instance during an eight year period in which a FINRA employee, or an employee of its predecessor, the National Association of Securities Dealers, Inc. ("NASD"), provided altered or misleading documents to the Commission.
Is this hearing really going to proceed based on stolen and misleading documents?" Democrats also criticized their colleagues for threatening the useful practice of fetal tissue research, which was key in discovering the link between the Zika virus and microcephaly, a severe birth defect.
"I think they moved their (offering expiration) date past the (annual) meeting so they don't have to deal with that question from shareholders". Unocal's annual meeting, originally scheduled for April 29, was postponed until May 13 while Unocal and Mesa correct what a federal judge called misleading documents.
The group of limited partners alleged that Wall Street speculator Ivan F. Boesky deceived them into investing last year in his $1-billion Ivan F. Boesky & Co. through misleading partnership documents.
Mr. Burkle called the 26-page document misleading or inaccurate and pointed to several deals made by Barnes & Noble for companies in which the Riggio family had ownership interests.
4 Don't sign misleading or backdated documents.
897, as amended, 15 U.S.C. 78r (misleading statements in any document filed pursuant to the 1934 Act).
