Search for: "In Re Securities and Exchange Commission"
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25 Oct 2018, 8:03 am
McMaster as Trump’s national security adviser. [read post]
1 Sep 2016, 7:56 am
The findings stated that Gioffre received commissions totaling $100,000 for the sale of approximately $2 million of securities to purchasers, who lost their entire investments. [read post]
20 Jan 2018, 12:00 am
” Helping you keep your legal ducks in a row and your nest egg secure with your host Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
14 Aug 2020, 5:10 pm
Most true up clauses simply state that the parties shall exchange tax documents, 1099s, W2s, K-1s at a certain time of year. [read post]
25 Jan 2012, 11:17 am
Securities and Exchange Commission, will serve as leaders of the mortgage working group. [read post]
5 Feb 2009, 4:22 am
A whistleblower who repeatedly warned the Securities and Exchange Commission that Bernard Madoff was perpetrating a massive investment fraud testified yesterday that the regulatory agency that oversees financial markets is inept, "financially illiterate" and far too cozy with the financial titans it is supposed to be regulating. [read post]
3 Mar 2020, 3:40 am
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a judicial remedy for violating the securities-fraud laws. [read post]
6 Aug 2012, 2:30 am
Brendler and his fellow jurors - a group that included a security guard, a lab technician and a full-time musician in a rock 'n' roll band - cleared the former Citigroup executive, Brian Stoker, of wrongdoing over his role in selling a complex $1 billion mortgage bond deal during the waning days of the housing boom.But even as the jury reached a consensus that the Securities and Exchange Commission failed to prove its case, it was left with an uneasy… [read post]
2 Jun 2022, 8:11 am
Relationships like this one are under scrutiny by the Securities and Exchange Commission, people close to the inquiry said. [read post]
18 Jan 2014, 7:00 am
On the cyber front, Paul reacted to the passage of the Health Exchange Security and Transparency Act of 2014, and found the bill fairly reasonable. [read post]
6 Apr 2012, 3:25 am
In order to secure access to that material, a “warrant” would still be necessary. [read post]
2 May 2019, 9:05 pm
Securities and Exchange Commission, Ford Motor Company disclosed that it is being criminally investigated by the U.S. [read post]
18 May 2009, 1:01 pm
" "A legitimate securities salesperson must be properly licensed and his or her firm must be registered with FINRA, the Securities and Exchange Commission, or a state securities regulator - depending on the type of business the firm conducts. [read post]
21 Apr 2022, 9:08 pm
Securities and Exchange Commission’s shareholder proposal rule to advance commitments to reform corporate purpose, which is traditionally defined as maximizing shareholder value. [read post]
23 Aug 2010, 2:33 pm
” Just as one may learn significant information about charities from the publicly available Forms 990, one may acquire considerable information from Form ADV, the Uniform Application for Investment Adviser Registration, that is required to be filed with the Securities and Exchange Commission (“SEC”) and updated by all investment advisers registered with the SEC. [read post]
10 Dec 2008, 12:54 am
"Minkow said that Peterson knowingly "lied" in a Microsemi press release, when Peterson "categorically" denied Minkow's background report last week that he falsified his academic credentials in reports filed with the Securities and Exchange Commission. [read post]
26 Mar 2023, 9:30 am
In 2012, he was named the Deputy Secretary of the Communist Party’s Central Commission for Discipline Inspection. [read post]
5 Feb 2020, 8:54 am
Securities and Exchange Commission sued the insured, a law firm holding a lawyers professional liability policy, seeking disgorgement of ill-gotten gains (legal fees obtained by fraudulent misrepresentations regarding a securities offering), as well as pre-judgment interest. [read post]
21 Jul 2015, 3:28 pm
Counsel was unaware of any earlier conviction for an exchange of political favors. [read post]
20 Sep 2024, 3:00 am
It comes only weeks after Elon Musk re-posted a parody of a Kamala Harris campaign ad on X that garnered millions of views and used AI-powered voice manipulation to make it seem Harris called herself an incompetent presidential candidate. [read post]
