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16 Mar 2020, 1:54 pm
An early example of Lorenzo having an impact (albeit short-lived) in private litigation is In re Longfin Corp Sec. [read post]
26 Jul 2010, 11:36 am
Presaging these interpretations, The Corp Fin Director assured that the current rules for corporate debt issuances differ in this respect and that the Commission believes that the corporate debt market has not been, and should not under current rules be, meaningfully affected by the statutory change that nullified Rule 436(g).The Corp Fin staff said that, for companies not subject to Regulation AB disclosure rules, a consent by a credit rating agency would be required if the… [read post]
27 Aug 2010, 9:46 am
Comparing the defendants’ statements to those at issue in In re Advanta Corp. [read post]
1 Sep 2021, 2:22 pm
Securities and Exchange Commission (“SEC”). [read post]
13 Jul 2014, 10:23 pm
Wyndham Worldwide Corp., et al., Defendants. [read post]
28 Dec 2010, 3:21 am
Corp. v. [read post]
22 Jul 2015, 6:02 am
The intermediate appellate court in Manhattan said yesterday.The warrants, which applied to 381 users' photos, private messages and other account information, could only be challenged by individual defendants after prosecutors gathered evidence, the Manhattan-based court unanimously ruled.Facebook was backed in the case by a group of large Internet companies including Google Inc and Microsoft Corp, which argued the case could set a troubling precedent giving prosecutors access to all… [read post]
8 Oct 2013, 11:19 am
The commonwealth’s bonds are widely held by local mutual funds issued by Puerto Rico’s largest brokerage firms including UBS Puerto Rico, Popular Securities, Inc., and Santander Securities, Corp. [read post]
19 Jun 2012, 5:03 am
Also rejected was CSEA's argument that a conflict existed because the Security Aides perform a security function. [read post]
26 Apr 2022, 3:48 pm
Specialty chemical maker Prince International Corp won U.S. antitrust approval to merge with rival Ferro Corp on condition that it sell three facilities, the Federal Trade Commission said. [read post]
6 Sep 2024, 10:58 am
., Musk acquired Twitter (now X Corp.) and founded a private AI-focused company, X.AI Corp. [read post]
11 Feb 2015, 4:31 am
The average settlement among those 50 cases is $79.5 million, a figure that is inflated by two very large settlements involving Nortel Networks Corp. [read post]
25 Jun 2014, 1:14 pm
According to his FINRA Broker Report, Cortez was registered with Chase Investment Services Corp from May 2002 through February 2012. [read post]
23 Sep 2007, 9:39 pm
Lee, 199 F.R.D. 129, 133 (S.D.N.Y.2001)); In re Olsten Corp. [read post]
7 Feb 2011, 12:42 pm
Now, it appears QA3 Financial Corp. has become the latest B-D to bite the dust. [read post]
17 Oct 2018, 6:38 am
Since the 1970s, Indal has produced the Recovery, Assist, Secure, and Traverse (RAST) system attached to U.S. [read post]
6 Apr 2010, 1:14 pm
District Court Judge William Alsup ruled that Charles Schwab Corp. did in fact violate the law when it loaded its YeildPlus Mutual Fund with high risk mortgage-related structured debt with first gaining approval by shareholders. [read post]
14 Oct 2008, 4:15 pm
Earlier this month, a Financial Industry Regulatory Authority panel found Charles Schwab Corp. liable for $542,340 in an investor claim against the company over its YieldPlus short-term bond fund. [read post]
28 Sep 2016, 10:39 am
” The SEC’s complaint charges Coppero and Castro with violating the antifraud provisions of the Securities Act of 1933 and the Securities Exchange Act of 1934. [read post]
21 Mar 2016, 10:39 am
The Securities and Exchange Commission today announced that Keith E. [read post]
