Search for: "Securities Investor Protection Corporation"
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1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
29 Nov 2023, 9:01 pm
Overall, another year of high monetary sanctions illustrates the Division’s continued objective to “aggressively employ[] all of its tools to protect investors and market integrity[,]”[4] including by demanding penalties significantly exceeding penalty precedents in similar cases. [read post]
24 Nov 2023, 9:05 pm
Securities and Exchange Commission (SEC) with issuing standards of professional conduct for attorneys “in the public interest and for the protection of investors. [read post]
23 Nov 2023, 10:41 am
The appointment of a receiver is appropriate only in cases of urgent necessity where there is a present danger to the interests of the investors, consisting of a serious suspension of the business and an imminent danger of dissipation of the corporate assets. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by… [read post]
17 Nov 2023, 11:41 am
-based Appian last month took out what’s known as judgment preservation insurance, a niche but increasingly popular type of policy aimed at securing awards in big corporate lawsuits. [read post]
17 Nov 2023, 6:00 am
FTX investors lost nearly $10 billion, making it one of the largest financial frauds in history , according to PBS. [read post]
15 Nov 2023, 9:22 am
NWC has set up Action Alert calling on whistleblower supports to join them in urging Congress to pass the bill and protect internal corporate whistleblowers. [read post]
15 Nov 2023, 6:26 am
Using all the Enforcement Division’s Tools to Protect Investors and the Integrity of the Markets In fiscal year 2023, the SEC’s Division of Enforcement aggressively employed all of its tools to protect investors and promote market integrity. [read post]
14 Nov 2023, 9:01 pm
Using all the Enforcement Division’s Tools to Protect Investors and the Integrity of the Markets In fiscal year 2023, the SEC’s Division of Enforcement aggressively employed all of its tools to protect investors and promote market integrity. [read post]
14 Nov 2023, 9:04 am
” In 2022, SEC Chair Gary Gensler noted that the whistleblower program “has greatly aided the Commission’s work to protect investors. [read post]
US SEC charges SolarWinds and its CISO for alleged cybersecurity misstatements and controls failures
14 Nov 2023, 3:00 am
The SEC’s Complaint alleges that between 2018 and 2021, the Company and the CISO misled investors about the strength of its cybersecurity protocols, which were allegedly not reasonably designed to protect its critical assets, including Orion. [read post]
13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
13 Nov 2023, 5:40 pm
§ 1320a–7b (federal Anti-Kickback Statute) and Section 1128B(b) of the Social Security Act. [read post]
13 Nov 2023, 1:37 pm
Woodruff Sawyer corporate securities law expert Lenin Lopez opines: SolarWinds’ internal controls may be the primary reason that the staff sent the CFO a Wells notice. [read post]
13 Nov 2023, 5:05 am
AXA Art Insurance Corporation v. [read post]
10 Nov 2023, 7:44 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
8 Nov 2023, 9:05 pm
Although CITs, like mutual funds, may hold shares of public companies and exercise the corporate voting rights afforded such shares, CITs are not subject to the securities law requirements to publicly disclose their voting records or to give fund investors voice in fund governance. [read post]
7 Nov 2023, 9:05 pm
June 2022: American Data Private Protection Act. [read post]
6 Nov 2023, 2:00 pm
For readers of this blog, one rather urgent question is the extent to which AI also presents corporate and securities litigation risks. [read post]
