Search for: "Securities and Exchange Commisison" Results 1 - 3 of 3
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11 Jan 2008, 3:53 pm
The Securities and Exchange Commisison is charging vFinance Investment Inc., its President Richard Campanella, and former New Jersey Branch Manager Nicholas Thompson for failing to keep records and show them to Commission staff. [read post]
7 Dec 2011, 12:43 pm by Chad Bray
Getty Images Galleon Group founder Raj Rajaratnam Former hedge-fund titan Raj Rajaratnam may appeal a record financial penalty of more than $92.8 million in a civil insider-trading case brought by the Securities & Exchange Commisison. [read post]
16 Jan 2017, 6:37 am by Jay Modrall (BE)
Privacy Shield, which replaced the Commisison’s “safe harbour” decision invalidated by the European Court of Justice in the 2015 Schrems decision. [read post]