Search for: "Levy Security Corporation"
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24 May 2018, 1:52 pm
Voss, he consented to a permanent bar because he refused to answer questions levied by FINRA in connection with an ongoing investigation against him. [read post]
3 Nov 2020, 4:05 pm
The post Things to Keep in Mind When Naming a Trust appeared first on Surovell Isaacs & Levy, PLC. [read post]
8 Aug 2022, 9:36 am
The post 5 Mistakes to Avoid When Starting Your Small Business appeared first on Surovell Isaacs & Levy, PLC. [read post]
8 Dec 2011, 6:06 am
Whistleblowers who provide original information to the SEC related to securities fraud or violations of the Foreign Corrupt Practices Act can receive 10 to 30 percent of the amount of the recovery in any action in which the Commission levies sanctions in excess of $1 million dollars. [read post]
17 Jan 2019, 7:00 am
That old physical eavesdropping system Levy and Robinson allude to also exploits a security vulnerability. [read post]
16 Jan 2024, 2:47 pm
” The $18 million penalty levied against JP Morgan is the largest for a Rule 21F-17(a) violation. [read post]
8 Oct 2009, 6:29 am
The Oregon Division of Finance and Corporate Securities issued civil penalties of $4.2 million against Jon Harder, co-founder and former CEO of the Salem company. [read post]
10 Dec 2015, 6:32 am
Agents of Realty Capital Securities allegedly impersonated shareholders and cast fake votes in an annual meeting for the Business Development Corporation of America. [read post]
22 Dec 2009, 1:42 pm
The short seller’s profit (if any) is the difference between the market price at which she sold the borrowed securities and the market price at which she purchased the replacement securities, less borrowing fees, brokerage fees, interest, and any other charges levied by the broker. [read post]
20 Jan 2011, 12:11 pm
Levy's keynote "What's Standing Between Attorneys and Their Clients? [read post]
5 Jan 2010, 6:18 am
Levie v. [read post]
5 Jul 2018, 3:00 am
In 2017, Delaware amended its corporate statute to permit corporate records to be maintained using distributed ledger technology – aka “blockchain. [read post]
7 Apr 2020, 1:35 pm
Several of the complaints refer to the SEC’s September 29, 2019 action in which it levied a $24 million civil penalty against Block.One for conducting an unregistered Initial Coin Offering between June 2017 and June 2018. [read post]
21 Nov 2022, 9:02 am
The government recently issued nearly $2 billion in fines against several large corporations. [read post]
28 Nov 2022, 9:02 am
The government recently issued nearly $2 billion in fines against several large corporations. [read post]
14 Nov 2011, 12:38 am
Many D&O insurance policies orient the definition of the term Securities Claim around allegations involving the securities of the insured corporate entity. [read post]
28 Nov 2022, 4:25 am
The weekend is always an opportunity for dastardly people, particularly government authorities and corporate flacks, to release news that they hope gets lost in the shuffle. [read post]
1 Jan 2016, 9:51 am
In a surprising move, the Brazilian Public Prosecutor’s Office has levied corruption charges against the former chief compliance officer (the “CCO”) of SBM Offshore – who joined SBM from Allen & Overy, where he co-chaired the firm’s corporate practice group. [read post]
31 Mar 2020, 11:25 am
For corporations, the due date for installment payments on estimated income tax was extended to October 15, 2020. [read post]
16 Nov 2010, 8:34 am
Is a security interest in corporate stock perfected, pursuant to Wyo. [read post]
