Search for: "Securities Investor Protection Corporation"
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9 Mar 2012, 11:59 am
It’s an idea that may be long overdue following the recent rash of Ponzi schemes and failed private placement deals: Revisiting the protections afforded to investors by the Securities Investor Protection Corporation (SIPC). [read post]
20 Jun 2011, 6:02 am
The Securities Investor Protection Corporation (SIPC) is warning investors that a scammer -- or perhaps a group of scammers -- is preying on people who have already been victimized by previous investment scams, calling them or sending them unsolicited emails in an attempt to steal their money and their most sensitive personal and financial information. [read post]
16 Jun 2011, 6:35 am
The SEC concluded that certain individuals who invested money through the Stanford Group Company are entitled to the protections of the Securities Investor Protection Act of 1970 (SIPA) and asked the Securities Investor Protection Corporation (SIPC) to initiate a court... [read post]
6 Apr 2009, 2:17 am
Senator Nick Sherry, Minister for Superannuation and Corporate Law, has allowed changes to the Australian Securities Exchange (ASX) market rules to boost retail investor disclosure and protection in relation to "partly paid securities". [read post]
7 Jul 2021, 5:57 am
In a paper just posted on SSRN, I argue that the central mechanisms protecting most investors in public securities markets—beyond deterring theft, fraud, and fees—are indirect. [read post]
24 Jan 2012, 3:32 pm
Securities and Exchange Commission in December sued the congressionally created non-profit Securities Investor Protection Corporation over the group’s refusal to set up a claims process to help alleged Stanford Group Company victims recover funds. [read post]
17 Feb 2005, 3:10 pm
[corporate website], the sixth-largest US securities firm, violated federal laws which protect investors when it aided brokers in making illegal after-hours mutual-fund trades. [read post]
31 Dec 2009, 9:35 am
Corporate Counsel Blog Securities Investor Protection [read post]
20 Jun 2011, 12:04 pm
Allen Stanford's alleged Ponzi scheme to be treated as brokerage customers by the Securities Investor Protection Corporation. [read post]
24 Feb 2010, 4:43 pm
Madoff's enormous Ponzi scheme filed a lawsuit on Wednesday accusing the president and directors of the Securities Investor Protection Corporation of fraud for failing to reimburse them or their losses. [read post]
30 Mar 2022, 5:52 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
15 Jun 2011, 2:31 pm
The Stanford Group Company is a member of the Securities Investor Protection Corporation, which was chartered by Congress to restore funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms. [read post]
9 Mar 2012, 2:23 pm
Allen Stanford in a $7 billion fraud scheme to be treated as brokerage customers by the Securities Investor Protection Corporation (SIPC). [read post]
24 Apr 2014, 6:08 am
These and other failures of oversight continue to remind us that good corporate governance is essential to the stability of our capital markets and our economy, as well as the protection of investors. [read post]
17 May 2017, 6:13 am
Recent developments and uncertainties in the securities markets are drawing institutional investors’ attention back to core principles of corporate governance. [read post]
10 May 2023, 12:55 pm
Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 The Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 established new and enhanced protections for retail investors in the areas of the regulation of financial products and corporate disclosure. [read post]
4 Nov 2014, 7:10 am
This minimum helps to protect investors and municipal issuers often set high minimum denomination amounts for so-called “junk bonds” that have a higher default risk that may make the investments inappropriate for retail investors. [read post]
13 Mar 2012, 9:04 am
The Securities and Exchange Commission (SEC) and some Congressmen are seeking to expand the mission of the Securities Investors Protection Corporation (SIPC) to cover investors’ losses in the $7 billion Ponzi scheme operated by convicted felon R. [read post]
23 Aug 2007, 7:43 am
Chairman Cox is not sugar-coating his belief that investors purchasing municipal bonds, notes, and other debt securities suffer from inferior legal protection compared to that afforded to other investors purchasing corporate bonds or equities. [read post]
14 Mar 2012, 9:10 am
Garrett: This hearing is entitled “The Securities Investor Protection Corporation: the Past, the Present, and the Future”. [read post]
