Search for: "SEC OF STATE NJ"
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19 Aug 2010, 5:49 am
The State of New Jersey has settled securities fraud charges brought against it by the SEC. [read post]
19 Aug 2010, 9:14 am
In its first securities fraud case against a state, the Securities and Exchange Commission (SEC) has accused the state of New Jersey of misleading investors by hiding the underfunding of its two biggest pension plans. [read post]
13 Feb 2011, 11:46 am
In the wake of a breach of NASDAQ computer systems by hackers, Senator Robert Menendez (D-NJ) asked the SEC to investigate the extent to which hacking can disrupt trading platforms at national exchanges and what steps can be taken to prevent that. [read post]
26 May 2010, 10:00 pm
The worker suffered an alleged work related accident on January 29, 2008 as an employee of NJ Transit. [read post]
19 Aug 2010, 9:07 am
As a result, investors were not provided adequate information to evaluate the state's ability to fund the pensions or assess their impact on the state's financial condition....New Jersey is a special state in many ways, but my gut instincts tell me this SEC action is just the vanguard of a coming wave of state and municipal securities litigation. [read post]
3 Mar 2022, 7:46 am
(CRD#:10083), HACKENSACK, NJ, 11/03/2015 – 09/19/2016, FIRST STANDARD FINANCIAL COMPANY LLC (CRD#:168340), STATEN ISLAND, NY 01/27/2015 – 11/03/2015, GARDEN STATE SECURITIES, INC. [read post]
15 Mar 2011, 9:31 am
The SEC and CFTC are not properly coordinating the adoption of regulations to implement the Title VII derivatives provisions of the Dodd-Frank Act, said House Capital Markets Subcommittee Chair Scott Garrett (R-NJ). [read post]
29 Oct 2021, 9:15 am
Welsh was registered with Wells Fargo Clearing Services, LLC in Fairfield, NJ. [read post]
10 May 2013, 11:07 am
Scott Garrett (R-NJ), Chair of the Subcommittee on Capital Markets, with ten original cosponsors. [read post]
21 Jul 2022, 8:18 am
Josh Gottheimer (D-NJ), would allot $1 million to Treasury to study the potential interaction between central bank digital currencies and privately issued stablecoins with the goal of promoting the continuation of the U.S. [read post]
6 Aug 2014, 4:18 am
The Third Circuit Court of Appeals ruled that a Medicare recipient could not prevent CMS from recovering conditional payments from a liability settlement by holding that the NJ Collateral Source Statute (NJCSS) did not prevent Medicare from recovering medical expenses as part of her damages in a tort suit and that the state court's oder apportioning settlement proceeds did not bar the Federal government from seeking reimbursement for medical expenses.Taransky v Sec of… [read post]
24 Mar 2022, 8:51 am
His only prior industry employment was with Wells-Fargo Clearing Services, LLC (CRD#:19616) of Elizabeth, NJ. [read post]
10 Mar 2011, 4:55 pm
In a letter to the Appropriations Committee, Senator Robert Menendez (D-NJ) urged that the SEC and CFTC be funded for the balance of FY 2011 at the levels provided in S. 3677, the Senate Committee bill reported to the Senate in July 2010 and at the levels requested in the President's FY 2012 budget for the following year. [read post]
22 Dec 2011, 10:44 am
Capital Markets Subcommittee Chair Scott Garrett (R-NJ) and Oversight Subcommittee Chair Randy Neugebauer (R-TX) said that the SEC regulations should exempt from the definition of municipal advisor broker-dealers, investment advisers and banks that are already regulated by the Commission and the federal banking agencies. [read post]
9 Jan 2023, 9:05 pm
The Securities Exchange Act grants the SEC ample authority and discretion to investigate and seek sanctions related to violations of the securities laws, with the goal of protecting investors; maintaining fair, orderly, and efficient markets; and facilitating capital formation (SEC, 2013).[1] To be sure, this is the SEC’s stated objective. [read post]
18 May 2013, 6:26 am
Executive Order No.13579 states that independent regulatory agencies, such as the SEC, should follow EO No. 13563. [read post]
14 Oct 2019, 12:40 pm
In an SEC order on October 8, the SEC reportedly barred Michael H. [read post]
11 Jan 2019, 3:21 am
Securities and Exchange Commission / Hacking and Trading Scheme Involved Theft of Thousands of ‘EDGAR’ Filings, Including Draft Earnings Reports of Publicly Traded Companies before Reports were Made Public (DOJ Press Release)https://www.justice.gov/usao-nj/pr/two-ukrainian-nationals-indicted-computer-hacking-and-securities-fraud-scheme-targetingIn a Complaint filed in the United States District Court for the District of New Jersey ("DNJ"), the SEC… [read post]
14 Nov 2006, 5:54 am
Nearly 7,600 Vioxx claims were filed in or transferred to the MDL in New Orleans;13,750 Vioxx lawsuits have been filed before Judge Higbee in a NJ State Court; Merck took a charge of $598 million for Vioxx legal expenses on top of the $685 million it had previously set aside for litigation reserves. [read post]
19 Feb 2012, 1:20 pm
The Commission's misreading of legislative history and congressional intent, they said, were made clear in meetings with the SEC and what they described as the ``alarming’’ report of June 13, 2011 by the SEC Inspector General stating that SEC staff had determined the transparency provisions of Section 1502 did not protect investors. [read post]
