Search for: "DEFENDER SECURITY COMPANY"
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3 Jan 2023, 2:09 pm
The Ninth Circuit’s holding highlights the risk that investment companies and their advisers face if they promote or otherwise discuss the merits of securities offerings online. [read post]
27 Feb 2009, 12:06 pm
Among the conflicts of interest, the investors are alleging that the defendants engaged in at least one of the a number of roles involving companies that with shares included among the funds' portfolio securities for the class periods, including: • As underwriters for certain securities. [read post]
30 May 2019, 2:30 pm
ALC Holdings, LLC, Sims Equities, Inc., and El Cether-elyown, which are companies that they control, are also defendants in the investor fraud scam. [read post]
12 Jul 2017, 9:41 am
Six other defendants, including five who have pleaded guilty and one convicted, are awaiting sentencing. [read post]
21 Apr 2012, 5:00 am
The U.S. companies allegedly gave Defendants shares in exchange for the Funds purchasing the shares at issue in the complaint. [read post]
25 Oct 2007, 6:25 am
General Security Insurance Company (AD) [read post]
10 Jul 2019, 9:05 pm
Plaintiffs and defendants continue to have too much room to litigate over which persons should have primary liability for securities fraud. [read post]
7 Aug 2008, 12:53 am
Over the past two days, plaintiffs’ attorneys have launched a couple of new securities lawsuits. [read post]
30 Oct 2014, 12:52 pm
" Rosen defended the enforcement case on the basis that he was not covered by this statutory definition because all he did was manage the clients' funds and securities and did not at any time advise the clients, either directly or through publications or writings, as to the value or advisability of purchasing or selling of securities. [read post]
13 Jun 2011, 8:37 am
In a May 7, 2009 opinion (here), the Fourth Circuit reversed the district court, finding that the shareholders had adequately stated a claim under the securities laws. [read post]
31 Jul 2009, 6:00 am
The SEC lawsuit also named the defendants' Southfield, Michigan-based companies, BBC Equities LLC and Bravata Financial Group Inc., as well as Antonio Bravata, 21, who allegedly assisted in the scheme. [read post]
27 May 2011, 5:50 am
Defendant Prosper Marketplace, Inc. [read post]
28 Jul 2023, 12:44 pm
The post TX White Collar Crimes: Different Offenses and Defending Your Rights appeared first on . [read post]
12 Feb 2010, 6:06 am
The company did this, plaintiffs alleged, despite representations by the company in filings with the Securities and Exchange Commission (“SEC”), including proxy statements, that the exercise price of stock options was always “at least equal to fair market value. [read post]
1 Jan 2020, 2:08 pm
The companies named as defendants in 2019 federal court securities suits represented 106 different Standard Industrial Classification codes. [read post]
6 Jan 2012, 2:45 pm
But isn’t it also too odd in strictly civil proceedings that a company or individual can settle with the securities watchdog agency, neither admit nor deny, but pay a penalty and promise not to do it again? [read post]
11 Jan 2013, 4:20 pm
Her office also alleges violation of data security regulations of the state due to the groups’ failure make sure that the billing company they retained would make sure the proper security measures were in place to protect the confidential information. [read post]
6 Jul 2017, 7:57 pm
The insurer agreed to defend the company but under a “reservation of rights,” disputing they had to defend against the wrongful termination claim. [read post]
1 Jun 2009, 2:28 am
The authors identified a range of variable associated with the increased likelihood of institutional investor involvement, including merit and potential damages, size of the defendant company, and prior performance of the defendant company. [read post]
25 Feb 2020, 4:56 am
The adoption of OpenDXL Ontology will help create a stronger, united front to defend and protect across all types of security tools, while reducing the burden of point integrations between individual products. [read post]
