Search for: "In Re Securities and Exchange Commission"
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22 Oct 2011, 5:00 am
I know Grits readers will be shocked to learn that the prosecutors who secured the false conviction against Michael Morton in Williamson County are fighting to keep from giving depositions as to how and why exculpatory material in the case was never turned over to the defense. [read post]
21 Oct 2011, 12:00 am
Without admitting any wrongdoing, a Citigroup subsidiary agreed to pay $285 million to settle charges brought by the Securities and Exchange Commission (SEC) claiming the firm misled buyers of a complex mortgage investment. [read post]
18 Oct 2011, 12:18 pm
A passionate discussion of Guantanamo Bay-featuring exchanges among a current and former U.S. [read post]
17 Oct 2011, 7:28 am
For example, during the first year after the PSLRA’s enactment, institutional investors became lead plaintiff in just eight of 105 securities litigation cases filed, according to a 1997 report by the Securities Exchange Commission. [read post]
11 Oct 2011, 7:58 pm
The SFC has been active over recent years in trying to improve the standards of sponsor work undertaken during IPO's and this case adds to the body of material in that area: 11 October 2011 Licensees disciplined for forgery and sponsor failures The Securities and Futures Commission (SFC) has prohibited Mr Wan Ten Lok (also known as Philip Wan) and Mr Sunny Yan Kwok Ting from re-entering the industry, for six years from 7 October 2011 to 6… [read post]
10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
10 Oct 2011, 6:03 am
Securities and Exchange Commission where he was an Enforcement Branch Chief, Pat was a private attorney for ten years representing defrauded investors. [read post]
6 Oct 2011, 11:58 am
The new Securities and Exchange Commission's Office of the Whistleblower opened on August 12, 2011. [read post]
5 Oct 2011, 1:45 pm
It's been more than 14 months since the signing of the Dodd-Frank Act, which directed the Securities and Exchange Commission to establish a new Investor Advisory Committee.So far, the SEC has not publicly announced a timetable for creating this panel, and Commissioner Luis Aguilar and some investors are asking why. [read post]
5 Oct 2011, 7:23 am
So let’s hear it for the brave souls at the Securities and Exchange Commission who decided to call a company out for just such an approach. [read post]
4 Oct 2011, 3:28 pm
Without the blessing conferred by the auditor’s letter or the rating agency’s evaluation, the corporation will have a more difficult time selling securities or remaining listed on a securities exchange. [read post]
4 Oct 2011, 9:46 am
“We’re not trying to to this against the clock,” he said, “We’re trying to this in a way that gets it right. [read post]
3 Oct 2011, 4:16 am
Kurland was Countrywide’s Chief Operating Officer, President, and the heir-apparent to CEO Angelo Mozilo who was recently indicted by the Securities and Exchange Commission (‘”SEC”) on charges of insider trading, among other things. [read post]
30 Sep 2011, 11:17 am
Bird 100 So 2d 57 (Fla 1958), Arkansas Commemorative Commission v. [read post]
29 Sep 2011, 1:38 pm
The Securities and Exchange Commission, or SEC, has also held broker-dealers accountable. [read post]
27 Sep 2011, 5:37 pm
The Federal Trade Commission, very active already in enforcing privacy rights, security obligations, and prohibitions against misleading advertising and marketing, has issued its initial staff report: Protecting Consumer Privacy in an Era of Rapid Change. [read post]
27 Sep 2011, 8:46 am
Republicans in the House and the Senate have introduced legislation requiring the Securities and Exchange Commission and other financial watchdogs to conduct a formal cost-benefit analysis, including a report by economists, before issuing any new rule. [read post]
27 Sep 2011, 2:05 am
In In re Dawson-Samberg Capital Mgmt, Inc. [read post]
24 Sep 2011, 5:55 am
Securities and Exchange Commission. [read post]
23 Sep 2011, 6:21 pm
We’re printing up new currency and taking it down the street to the Treasury Department in order to exchange it for other pieces of paper called bonds that say that we owe ourselves the money back in 10 years at like 2-3% interest or something like that. [read post]
