Search for: "Securities Investor Protection Corporation"
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20 Aug 2020, 8:00 am
SEC whistleblowers are vital in policing corporate fraud and protecting investors. [read post]
10 Dec 2011, 2:30 pm
Rick Bortnick Increased corporate reliance on computer networks and electronic data has brought a corresponding increase in risks associated with breaches of their security. [read post]
2 Aug 2010, 6:15 am
Filed under: corporate governance, fiduciary duties, securities litigation [read post]
18 Feb 2019, 11:05 am
SSEK Law Firm has represented hundreds of investors and helped them recover tens-of-millions in losses related to Puerto Rico securities. [read post]
6 Mar 2023, 9:05 pm
The effects of securities class action litigation on corporate liquidity and investment policy. [read post]
14 Oct 2018, 12:04 pm
And now, these developments have drawn two new securities class action lawsuits in which shareholders of Alphabet, Google’s parent company, allege that the company misled investors about the adequacy of the company’s security measures to protect user data from theft and security breaches. [read post]
25 Jan 2011, 8:30 am
The law is clear that the exercise of such powers should only be protective and preventative and firmly rooted in the objectives of securities regulation (investor protection and market efficiency). [read post]
2 Nov 2022, 12:15 am
How does this possibly protect investors? [read post]
15 Jun 2016, 8:08 am
Leisner In August 6, 2015, the SEC Division of Corporation Finance issued an interpretive letter to Citizen VC concerning exempt private offerings under Rule 506(b). [read post]
30 Sep 2018, 5:16 pm
But putting all the machinations and drama of the “funding secured” fiasco aside, there is a much broader and emphatic SEC edit that now rings clear: Whenever a corporate executive makes a material false statement online — boom — it’s a securities fraud. [read post]
25 Nov 2020, 3:00 pm
In contrast, the Biden administration would likely increase regulations related to corporate social responsibility to protect investors. [read post]
4 Jan 2021, 1:50 am
Alternative investments often expose investors to more risk due to less regulatory scrutiny which often results in less investor protection from potential fraud or other misconduct. [read post]
4 Jan 2021, 1:50 am
Alternative investments often expose investors to more risk due to less regulatory scrutiny which often results in less investor protection from potential fraud or other misconduct. [read post]
8 Apr 2013, 9:06 am
A second and related announcement came on Tuesday from the Securities & Exchange Commission. [read post]
28 Aug 2020, 6:11 am
Securities and Exchange Commission, on Thursday, August 27, 2020 Tags: Accredited investors, Capital formation, Capital markets, Information environment, Investor protection, SEC, Securities regulation Statement by Chairman Clayton on Modernization of the Accredited Investor Definition Posted by Jay Clayton, U.S. [read post]
15 Apr 2021, 8:32 am
This is the first client dispute reportedly involving Michael Kokoskie who has been registered with National Securities Corporation since 2014. [read post]
15 Apr 2021, 8:32 am
This is the first client dispute reportedly involving Michael Kokoskie who has been registered with National Securities Corporation since 2014. [read post]
11 Dec 2020, 1:01 pm
District Court for the District of Massachusetts entered final judgments against FFS Capital Limited, Paifang Trading Limited, Artefactor Limited, Meadow Asia Limited, and Thyme International Limited, resolving the SEC’s claims that these entities orchestrated an illicit scheme through which corporate control persons could anonymously and illegally sell their company’s stock to unsuspecting investors. [read post]
6 Sep 2022, 6:03 am
Daxton White, managing partner of The White Law Group, a national securities fraud, securities arbitration, investor protection and securities regulatory/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
22 Oct 2016, 6:45 pm
And, because they operate as a quasi private capacity, they might owe only a corporate responsibility to respect human rights, rather than a state duty to protect them. [read post]
