Search for: "In Re Securities and Exchange Commission"
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26 Aug 2011, 5:30 am
Securities fraud/shareholder fraud: providing information or participating in an investigation with the Securities Exchange Commission. [read post]
24 Aug 2011, 2:00 am
Both SIPC and the Securities and Exchange Commission (“SEC”) supported the Trustee’s position in the bankruptcy court and in the Second Circuit. [read post]
23 Aug 2011, 3:13 pm
Michael served a 22-month prison term and paid $600 million in fines and restitution.As part of a settlement in a related civil matter, the Securities and Exchange Commission permanently barred the two brothers from the securities industry. [read post]
23 Aug 2011, 12:46 pm
Our latest contestants in this Sisyphean legal drama are a united band of like-minded law school professors looking to utilize the Securities and Exchange Commission (SEC) as a vehicle to counter the perceived negative impact of Citizens United. [read post]
22 Aug 2011, 10:08 pm
” This taint, in turn, renders any exchange in the stock of a takeover-targeted firm a crime. [read post]
20 Aug 2011, 9:21 pm
Bankruptcy Cases and Topics 10th BAP bars review of order under "law of the case" doctrine bec. 3 narrow grounds for departing from rule are absent. http://t.co/7knf9h6 D-TX: Dbtr's deposit to secure performance obligs didnt create an express, resulting or constr. trust favoring creditor. http://t.co/Tqc5iIu D-MA: Fee-only Ch 13 plans designed mainly to pay the filing atty's fees over time per se violates the good faith reqt. http://t.co/pPU96Wi … [read post]
17 Aug 2011, 6:11 am
Securities and Exchange Commission. [read post]
15 Aug 2011, 2:00 am
Securities and Exchange Commission (the “Commission”) re-proposed for public comment rules that seek to enhance the disclosure, reporting and shelf eligibility requirements for issuers of asset-backed securities (ABS). [read post]
12 Aug 2011, 8:10 am
Sure, occasionally she'll settle for no money at all, and the charge will be dismissed without even a position statement, and you can get a full release of claims in exchange, but you're 100 percent in the right, so you don't need it. [read post]
11 Aug 2011, 6:05 pm
The rules for most private company financings are found under the Securities Exchange Commission’s (SEC) “Rule 506,” which dictates how individuals and startups must conduct themselves when seeking investment funds by selling securities (a share of stock, a convertible note, etc.). [read post]
9 Aug 2011, 11:21 am
The Securities and Exchange Commission Aug. 4 dropped its administrative insider trading case against former Goldman Sachs Inc. [read post]
8 Aug 2011, 12:47 pm
He represented the board in disciplinary action before the board’s hearing officer and worked with the Securities and Exchange Commission. [read post]
5 Aug 2011, 5:03 am
The defendants were convicted of conspiracy, mail fraud, securities fraud, and false statements made to the Securities and Exchange Commission and were sentenced to prison terms ranging from one to four years. [read post]
5 Aug 2011, 5:00 am
Is Hurdle to Crisis Cleanup in Dealbook A senior lawyer for the Securities and Exchange Commission recently took center stage in a major case involving a controversial mortgage security sold by Goldman Sachs. [read post]
4 Aug 2011, 12:38 pm
They’re told to paint a picture of a duck, but they choose the brush, the colors and the frame. [read post]
3 Aug 2011, 5:00 am
On April 29, 2011, the OCC, Board, FDIC, Commission, FHFA and HUD published a joint notice of proposed rulemaking for public comment to implement the credit risk retention requirements of section 15G of the Securities Exchange Act of 1934 (15 U.S.C. [read post]
2 Aug 2011, 4:24 pm
In addition to ACA compliance, these arrangements may need redesign to minimize emerging exposures to challenge by the Equal Employment Opportunity Commission (“EEOC”) or private plaintiffs under the Americans With Disabilities Act (“ADA”). [read post]
2 Aug 2011, 9:59 am
After almost two years of investigation by the Securities and Exchange Commission, Overstock.com (NASDAQ: OSTK), also known as O.co, faces a possible enforcement action and sanctions arising from certain accounting violations reported in this blog. [read post]
2 Aug 2011, 5:51 am
They were right – the four Gen Re executives and the AIG executive were all convicted of conspiracy, mail fraud, securities fraud, and making false statements to the Securities and Exchange Commission Tom notes that the court rejected other arguably sound bases for reversal and that It’s never easy being an appellant, even after a trial that is chock full of prosecutorial misconduct. [read post]
2 Aug 2011, 5:26 am
Milton, AIG's vice president of reinsurance, were sentenced to prison in 2009 for their involvement in the scheme, which authorities estimate cost AIG shareholders more than $500 million.Testimony from two cooperating witnesses associated with Gen Re helped convict the five executives of conspiracy, mail fraud, securities fraud and false statements to the Securities and Exchange Commission. [read post]
