Search for: "SEC v. Cross Financial Services, Inc."
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19 Apr 2024, 9:27 am
For more information on SEC v. [read post]
3 Apr 2024, 9:01 pm
One need look no further than last week’s sentencing of Samuel Bankman-Fried to see the impact of noncompliance.[12] In advance of the sentencing, the Department of Justice filed hundreds of victim statements with the court.[13] The victim statements reflect the incredibly broad cross-section of people who were harmed by the fraud that Bankman-Fried was convicted of: single parents, retirees, young people, grandparents. [read post]
4 Mar 2024, 5:56 pm
ICON Health &Fitness, Inc., 572 U.S. 545, 553 (2014), and the text of the CTA is wide-ranging inscope. [read post]
2 Jan 2024, 12:56 pm
As the Wall Street Journal has detailed, rising vacancy rates in office buildings has stressed the commercial real estate sector, putting many landlords in a difficult spot as they continue to try to service their debt. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
10 Apr 2023, 9:01 pm
” The report suggests these concerns may derive from three different qualities of sustainable business information and reporting: control v. influence; quantitative v. qualitative; and historical v. forward-looking. [read post]
27 Mar 2023, 9:01 pm
In particular, the Second Circuit in SEC v. [read post]
31 Jan 2023, 9:31 am
PAJ, Inc. v. [read post]
23 Jan 2023, 9:01 pm
” Because market makers can earn spreads with less risk on retail orders—in light of the typically smaller size and less market information driving retail orders—these wholesalers typically do not charge retail brokers fees for this service, and in fact often pay the retail brokers for the opportunity to trade with these retail orders (called “payment for order flow” or PFOF). [read post]
3 Jan 2023, 1:47 pm
Both the overall figures and the cross-year comparisons are distorted by the number of federal court class action merger objection lawsuit filings, particularly with respect to the years 2017 to 2020. [read post]
25 Dec 2022, 2:14 am
Kresge Co. v. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
25 May 2022, 9:01 pm
And the SEC suggests that supply chain and commodity risks are a primary consideration, by asking for information on the impact of the invasion on energy, raw materials, the “costs and risks associated with transportation,” and “whether and how … products, lines of service … or operations are materially impacted by supply chain disruptions. [read post]
18 Jan 2022, 10:02 am
Mindgeek USA Inc., 2021 WL 4167054 (C.D. [read post]
8 Dec 2021, 11:27 am
Financial Reports. [read post]
8 Dec 2021, 7:27 am
Financial Reports. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
