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15 Jul 2018, 4:06 am
.; and Oliver Lindsay was charged with participating in the scheme.In yet another indictment, Andrew Hackett, Vikram Khanna, Kuldeep Sidhu, Annetta Budhu and Kevin Gillespie were charged with manipulating the market for the stock of Arias Intel, Corp. [read post]
9 Apr 2018, 7:41 am
SEC Obtains Emergency Freeze of $27 Million in Stock Sales of Purported Cryptocurrency Company Longfin (SEC Litigation Release No. 24106)https://www.sec.gov/litigation/litreleases/2018/lr24106.htm / April 9, 2018The United States District Court for the Southern District of New York ("SDNY") granted the SEC's request for a court order freezing over $27 million in trading proceeds from allegedly illegal distributions and sales of restricted shares of NASDAQ-listed Longfin… [read post]
18 Jul 2022, 4:06 am
(Capital & Main by Susan Antilla)Boom, boom, boom, Charles Schwab Corp. just spent $220 million to shuck three lawsuits -- a likely 'deck clearing' before the TD Ameritrade merger closes, say multiple analysts / A 2017 Scottrade class action suit inherited from TD Ameritrade, a robo-advice disclosure settlement, and TDA merger class action have all gone poof (RIABiz by Oisin Breen)Equitable Financial To Pay $50 Million Penalty To Settle SEC Charges That It P... [read post]
21 Feb 2023, 3:12 am
. ___(2023) /February 22, 2023) DOJ RELEASES SEC RELEASES SEC Charges African Gold Acquisition Corp. with Internal Controls, Reporting, and Recordkeeping Failures / Control failures enabled former CFO to misappropriate approximately $1.2... [read post]
27 Jun 2018, 9:56 am
Federal prosecutors alleged that Davis falsely represented to 22 victims that they were guaranteed to receive at least 6% annual interest payments through investments with his Financial Assurance Corp. or Affluent Advisory Group LLC. . [read post]
10 Oct 2016, 12:00 am
Costco Wholesale Corp. [read post]
12 Feb 2024, 10:28 am
., Northwestern Mutual Investment Services, and Lincoln Financial Advisors Corp., are among 16 companies paying an $81 million fine to settle charges related to mishandling electronic communications, as per the Securities and Exchange Commission (SEC). [read post]
15 Sep 2009, 7:14 am
Horace Grant, who retired from the Lakers in 2004, filed a securities arbitration claim in March against Morgan Keegan, a regional brokerage owned by Birmingham-based Regions Financial Corp., seeking more than $1.5 million for losses related to investments in four mutual funds. [read post]
2 Jul 2019, 9:56 am
Phibro Animal Health Corp., et al., Smith Eibeler employment attorney Kathryn McClure, Esq., along with co-counsel, Mary Ann Sedey secured a substantial victory for employees, both inside and outside of New Jersey. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
5 Dec 2019, 1:50 pm
The malware was designed to bypass antivirus and other security defenses. [read post]
9 Jan 2017, 4:07 pm
Second, on January 6, 2016, plaintiffs’ lawyers filed a securities suit in the District of Massachusetts against Inotek Pharmaceuticals Corp. and certain of its directors and officers. [read post]
8 Aug 2017, 6:03 am
Following the decision of the Ontario Securities Commission in Re Canadian Tire Corp. and decisions of the ASC in Re Perpetual Energy Inc. and Re ARC Equity Management (Fund 4) Ltd., the ASC affirmed that in the absence of a breach of securities law, its public interest jurisdiction should only be exercised to address a clearly demonstrated abuse of investors and the integrity of the capital markets. [read post]
8 Aug 2017, 6:03 am
Following the decision of the Ontario Securities Commission in Re Canadian Tire Corp. and decisions of the ASC in Re Perpetual Energy Inc. and Re ARC Equity Management (Fund 4) Ltd., the ASC affirmed that in the absence of a breach of securities law, its public interest jurisdiction should only be exercised to address a clearly demonstrated abuse of investors and the integrity of the capital markets. [read post]
8 Jan 2018, 12:00 am
XOMA Corp., No. 15-cv-034250HSG, 2017 BL 345015 (N.D. [read post]
23 Nov 2015, 4:13 pm
Corp. [read post]
27 Oct 2007, 2:28 am
Oracle Corp., No. [read post]
1 Jul 2019, 12:43 pm
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Andrews, Helen Morgan Stanley Barclays Capital Inc Andreyeva, Tatyana Westpark Capital, Inc Fordham Financial Management, Inc Basarian, Gary Royal Alliance Associates, Inc Integrated Resources Equity… [read post]
8 Jun 2011, 2:48 pm
Today, when A Corp sues B Corp (for breach of contract, theft of trade secrets, or any other legal wrong), many of the same shareholders own both the plaintiff and the defendant. [read post]
19 Aug 2021, 3:37 pm
Background CF Finance Acquisition Corp. [read post]
