Search for: "In Re Securities and Exchange Commission"
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27 Mar 2007, 8:06 am
Morgan Stanley, Goldman Sachs, Barclays Capital and Deutsche Bank own about 16% of the company, according to securities filings. [read post]
13 Jul 2021, 5:54 am
The defendant is charged with violating the antifraud provisions of Section 10(b) of the Securities and Exchange of 1934 and Rule 10b-5 thereunder and Section 17(a) of the Securities Act of 1933. [read post]
8 Oct 2021, 4:00 am
False Election Claims Undermine Efforts to Increase Security MSN – Maggie Miller (The Hill) | Published: 10/2/2021 Officials say the biggest threat facing U.S. elections is not Russian hacking or domestic voter fraud but disinformation and misinformation increasingly undermining the public’s perception of voting security. [read post]
9 Sep 2020, 2:28 pm
(In re Marriott International Inc. [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]
30 Dec 2019, 8:03 pm
Clashes have broken out between security forces and protesters this week after results showed President Joko Widodo had defeated challenger Prabowo Subianto in last month’s poll. [read post]
27 Feb 2019, 7:15 am
The astute researcher in Germany Volker Rieck has some insights into Cloudflare that the Securities and Exchange Commission would do well to review before they let Cloudflare make Mr. [read post]
2 May 2012, 5:00 am
David Kotz, former Inspector General, Office of the Inspector General, United States Securities and Exchange Commission (2007-2012), currently Managing Director, Gryphon Strategies Interviewed by Lois Towers, Principal, Pantheon Ventures 9:30 – 10:10 Conducting an effective annual review • What does the SEC want you to look at? [read post]
5 Oct 2021, 4:43 am
To support the allegations, Haugen shared more than 10,000 pages of internal documentation with the US Securities and Exchange Commission — all pretty damning stuff. [read post]
5 Jan 2011, 6:26 am
I will only discuss the Lanham Act claims, though they’re obviously just a part of the case, which includes a large RICO component. [read post]
20 May 2014, 7:08 am
Credit Suisse has already paid $196 million to the Securities and Exchange Commission (SEC) for violating the federal securities laws. [read post]
2 Jan 2013, 9:00 pm
I thought about this album and its title while reading the Memorandum and Order from District Judge Keith Ellison in the Security and Exchange Commission (SEC) civil action filed against current and former officers of Noble Corporation, Mark A. [read post]
1 Jun 2011, 1:44 am
As a reminder, as the NYTimes puts it, Tourre earned "the dubious distinction of becoming the only individual at Goldman and across Wall Street sued by the Securities and Exchange Commission for helping to sell a mortgage-securities investment, in one of the hundreds of mortgage deals created during the bubble years. [read post]
20 Aug 2010, 5:54 am
Young and Emily exchanged emails to arrange . . . their meeting . . . on November 13, 2008. . . . [read post]
31 Oct 2011, 8:06 am
The Hamiltonians had warned of “the adverse consequences of sustained large budget deficits” during the Bush administration and advocated “painful adjustments,” namely cuts to social insurance programs like Social Security and Medicare in exchange for more liberal policies like tax increases and healthcare reform. [read post]
6 Dec 2023, 10:30 am
And, indeed, as expected, the exchanges were lively. [read post]
27 Jan 2021, 11:22 am
Hsu repeatedly lied under oath to the Securities and Exchange Commission and encouraged her victims to lie to the FBI on her behalf. [read post]
29 Feb 2008, 8:08 am
Securities and Exchange Commission's EDGAR site, DART is a searchable repository for all Korean company filings. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
29 Jun 2023, 9:15 pm
Platt found that tipsters represented by lawyers—especially experienced lawyers and those who previously worked at the Securities and Exchange Commission—outperformed most other tipsters. [read post]
