Search for: "Securities and Exchange Commission v. Jones"
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2 Nov 2009, 2:33 pm
The Supreme Court heard argument today in Jones v. [read post]
11 Dec 2008, 9:55 pm
Schaffer (both with Jones Day) have written an interesting review of the newly-published Securities and Exchange Commission Enforcement Manual, posted on law.com ("Release of 'Red Book' a Move Toward SEC Transparency"). [read post]
31 Jan 2024, 11:31 am
The review includes regulatory sanctions from the Financial Industry Regulatory Authority (FINRA), the US Securities Exchange Commission (SEC) and state regulators. [read post]
30 Mar 2010, 4:16 pm
A misleading error appears in today’s unanimous Supreme Court opinion in Jones v. [read post]
30 Mar 2010, 10:06 am
The Supreme Court today issued a unanimous decision in Jones v. [read post]
16 May 2022, 11:14 pm
Hendrix and Securities and Exchange Commission (SEC) v. [read post]
29 Sep 2011, 1:38 pm
The Securities and Exchange Commission, or SEC, has also held broker-dealers accountable. [read post]
30 Apr 2007, 3:52 am
Schaffer On Feb. 26, 2007, Southern District of New York Judge Richard Conway Casey dismissed the Securities and Exchange Commission's action seeking civil monetary penalties and an injunction against former Citigroup Asset Management (CAM) executives Thomas W. [read post]
12 Mar 2009, 7:29 pm
Jones v. [read post]
11 Sep 2018, 1:33 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
8 May 2007, 5:15 am
We will begin a series of posts on the role of the Securities and Exchange Commission in the corporate governance process. [read post]
4 Jan 2024, 12:10 pm
”According to FINRA, this matter reportedly originated from an Investor Complaint Form submitted to FINRA referencing Securities and Exchange Commission v. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
16 Aug 2019, 6:00 am
Securities and Exchange Commission, on Friday, August 9, 2019 Tags: Capital formation, Innovation, Investor protection, IPOs, Public firms, SEC, SEC rulemaking, Securities enforcement, Securities regulation Finalized Volcker Rule Amendments Posted by V. [read post]
9 Feb 2011, 5:00 am
The Securities and Exchange Commission charged a hedge fund and four hedge fund portfolio managers and analysts with illegally traded on confidential information obtained from technology company employees moonlighting as expert network consultants. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
19 Oct 2021, 6:54 am
Jones & Co. v. [read post]
20 Apr 2011, 12:30 pm
I think just about everybody who doesn't get their paycheck from the Securities and Exchange Commission (and probably some who do) believes the SEC was grossly incompetent in failing to spot and prosecute the Madoff frauds years (decades?) [read post]
13 Feb 2023, 9:11 am
In this post, Henry Powell (Associate) and Antoni Hajdon (Of Counsel) in the Real Estate Disputes team at CMS, comment on the case of Barton & Ors v Morris & Anor in place of Gwyn Jones (deceased) [2023] UKSC 3 – handed down on 25 January 2023. [read post]
3 Nov 2009, 11:33 am
See the Jones v. [read post]
