Search for: "IN THE MATTER OF THE ENFORCEMENT OF A SUBPOENA."
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14 Nov 2011, 2:13 pm
In other enforcement matters, the SEC brought 89 actions in FY 2011 for financial fraud and disclosure violations. [read post]
22 Dec 2022, 6:52 am
There’s also been reports by Bloomberg that DOJ has subpoenas out and CIDs out to massive private equity firms looking at the Section 8 problem, one being Apollo. [read post]
14 Nov 2023, 9:01 pm
Grewal, Director of the Division of Enforcement. [read post]
16 Apr 2008, 3:24 pm
Law enforcement authorities have been notified. [read post]
2 Nov 2010, 10:24 am
The FCPA has been around since 1977, and while the Department of Justice (DOJ) has had recent well-publicized enforcement actions under the FCRA, it is frankly a complicated and difficult matter to successfully tackle corporate bribery. [read post]
2 Sep 2012, 6:38 pm
The matter becomes more complicated however, if the person subpoenaed moves to quash the subpoena or requests a protective order in the foreign jurisdiction, or if the person who issued the subpoena seeks to enforce it in a foreign jurisdiction. [read post]
17 Jan 2017, 4:19 pm
The Investigation Process THE MUI—The Prologue to SEC Enforcement Actions: The SEC investigation process begins with what is called a “matter under inquiry” or MUI. [read post]
11 Dec 2013, 2:21 pm
She returns to New York, but is subpoenaed to appear in Colorado court proceedings, to testify about her confidential sources. [read post]
8 Apr 2024, 5:00 am
While insisting that there was no pressure or special dealing in the matter, the DOJ has blocked key sources of evidence. [read post]
17 Mar 2015, 10:51 am
Because the EEOC has no authority to enforce the subpoena, concerns over the propriety of its conduct can be raised before the court during enforcement proceedings. [read post]
22 Oct 2011, 5:20 pm
The EEOC later filed a subpoena enforcement action, and the matter was assigned to Judge Kocoras.This case involved some thorny procedural and substantive issues. [read post]
8 Nov 2015, 4:50 pm
” It obviously remains to be seen whether the subpoena and the letter-writing campaign will actually lead to regulatory or enforcement action against Exxon. [read post]
23 Aug 2016, 2:30 pm
The FCC subsequently opened an investigation into the matter. [read post]
11 May 2012, 4:52 am
This ruling is only to enforce the People's subpoena served upon Twitter.People v. [read post]
29 Nov 2023, 9:01 pm
There were two types of actions with significant year-over-year increases: securities offering matters (55% increase) and broker-dealer matters (30% increase). [read post]
20 Mar 2020, 5:00 am
And federal courts cannot enforce House subpoenas against a stonewalling executive branch, because the remedy for such stonewalling is impeachment. [read post]
28 Dec 2010, 7:54 pm
“As a general matter, pursuit of [federal law enforcement] priorities should not focus federal resources … on individuals whose actions are in clear and unambiguous compliance with existing state laws providing for the medical use of marijuana. [read post]
8 May 2019, 5:23 pm
Although headlines simplify the matter as “Trump asserts executive privilege over Mueller report,” or something similar, the assertion is actually much, much broader. [read post]
19 Mar 2013, 10:23 am
It doesn’t matter how old episodes of The Simpsons are: They don’t belong to ECOTtotal, they don’t belong to YouTube or Google, not even to Krusty the Clown. [read post]
27 Sep 2013, 5:20 pm
Defendant gave three oral statements, one written statement, and a videotaped statement to law enforcement agents. [read post]
