Search for: "Wadhwa & Associates, Inc"
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23 Apr 2013, 6:00 am
When corporate insiders leak confidential information to a select few, the integrity of our markets is undermined," said Sanjay Wadhwa, Senior Associate Director of the SEC's New York Regional Office. [read post]
15 Jul 2019, 7:48 am
Wadhwa. [read post]
2 Apr 2013, 6:00 am
Canellos, Acting Director of the SEC’s Division of Enforcement.Sanjay Wadhwa, Senior Associate Director of the SEC’s New York Regional Office, added, “Company insiders who reveal confidential information and the traders who trade on it can expect robust scrutiny from the SEC. [read post]
18 Jun 2019, 10:43 am
"In today's action, we charge that Wedbush facilitated the issuance of ADRs that were not backed by ordinary shares," said Sanjay Wadhwa, Senior Associate Director of the SEC's New York Regional Office. [read post]
31 Aug 2023, 8:09 am
The Securities and Exchange Commission today announced settled cease-and-desist proceedings against broker-dealer Citigroup Global Markets Inc. [read post]
18 Feb 2014, 5:51 am
"The SEC's swift action in this case ensured that traders located on the other side of the globe were not only deprived of their illegal insider trading profits but eventually paid steep penalties," said Sanjay Wadhwa, senior associate director for enforcement in the SEC's New York Regional Office. [read post]
14 Mar 2014, 3:25 pm
They provided him confidential details about impending announcements at Dell Inc. and Foundry Networks. [read post]
28 May 2010, 7:53 am
Vivek Wadhwa, a visiting scholar at UC-Berkeley, Director of Research for the Center for Entrepreneurship and Research Commercialization at Duke University, and Senior Research Associate for the Labor and Worklife Program at Harvard Law School, responded to Opsahl's post in TechCrunch. [read post]
9 Aug 2023, 11:25 am
Their disciplinary actions include censuring, fining a charge, and suspension of association with any FINRA members. [read post]
14 Nov 2023, 9:01 pm
” “The Division’s many accomplishments over the past fiscal year reflect the efforts of a staff that remains steadfastly focused on fulfilling the SEC’s investor protection mandate,” said Sanjay Wadhwa, Deputy Director of the Division of Enforcement. [read post]
12 Dec 2017, 4:36 pm
The company, Munched, Inc. halted its ICO after being contacted by the SEC, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. [read post]
