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24 Oct 2023, 9:01 pm
For example, in our off-channel communications sweep, the penalties the Commission has ordered have, as I think all in this room would agree, been high – record penalties, in fact, for books and records violations. [read post]
20 Oct 2023, 2:40 pm
., the recordkeeping rule) of the Investment Advisers Act to require RIAs to retain books and records related to the provisions of the New Private Fund Adviser Rules. [read post]
10 Oct 2023, 11:24 am
Wealthy, Inc. v. [read post]
5 Oct 2023, 7:26 am
” The scammer claimed they had been doing business with a company named HBS Systems Inc. in Richardson (which the attorney called and verified is a real company), that HBS had violated a copyright on some software, had admitted to this, and had settled on $2.9 million as a settlement. [read post]
3 Oct 2023, 9:01 pm
August 4, 2023, settled) In the Matter of Canoo, Inc. [read post]
2 Oct 2023, 12:34 pm
Instead, Ali & Companies and Haider paid some workers off the books. [read post]
2 Oct 2023, 10:41 am
Books and records costs – whilst there is (as yet) no equivalent procedure in the UK, shareholders in Delaware companies are using rights to obtain copies of company records as a way of identifying or reinforcing claims. [read post]
11 Sep 2023, 5:33 am
Universities spend hundreds of millions of dollars on licences that grant both access to materials (purchasing physical books has declined dramatically) and the ability to use them. [read post]
5 Sep 2023, 4:21 am
Additionally, Sigalit alleged that in April of 2016, her husband received a call from Kahlon’s partner in a venture named Project Verte, Inc. [read post]
2 Sep 2023, 5:16 pm
The office will review the records of people who have become US citizens since 1990 (over 17 million persons) in order to identify people who deliberately lied on their citizenship applications. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
24 Aug 2023, 11:18 am
Delaware’s Section 220, and other similar state laws, provides shareholders the right to access company books and records. [read post]
21 Aug 2023, 4:34 am
The Lower Court Proceedings In 2019, Vasaliki Apostolopoulos filed a petition seeking judicial dissolution of two realty corporations having an alleged aggregate value of $40 million. [read post]
16 Aug 2023, 11:08 am
According to the CDC, it is estimated that 1.4 million cases of salmonellosis occur each year in the United States. [read post]
9 Aug 2023, 2:28 pm
Paid for by American Civil Liberties Union, Inc. in coordination with Ohioans United for Reproductive Rights. [read post]
9 Aug 2023, 11:25 am
The firms and their penalties have been produced and outlined as follows: Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey Capital,… [read post]
8 Aug 2023, 1:55 pm
The SEC posts NoCAs for every enforcement action where the agency collected at least $1 million. [read post]
8 Aug 2023, 9:31 am
Wells Fargo Securities, LLC together with Wells Fargo Clearing Services, LLC and Wells Fargo Advisors Financial Network, LLC agreed to pay a $125 million penalty; BNP Paribas Securities Corp. and SG Americas Securities, LLC have each agreed to pay penalties of $35 million; BMO Capital Markets Corp. and Mizuho Securities USA LLC have each agreed to pay penalties of $25 million; Houlihan Lokey Capital, Inc. has agreed to pay a $15 million penalty; … [read post]
30 Jul 2023, 1:27 pm
Getty Images owns the rights to millions of images. [read post]
30 Jul 2023, 6:18 am
The company was formed in 2018 through a merger of INC Research and inVentiv Health. [read post]
