Search for: "In Re Securities and Exchange Commission"
Results 2401 - 2420
of 2,834
Sort by Relevance
|
Sort by Date
13 Apr 2010, 10:37 am
Journal, Apr. 8, 2010 at C1 James Kelso, once a star mutual-fund manager, was accused by the Securities and Exchange Commission of deliberately inflating the value of subprime securities in order to hide losses in his funds after the real-estate bubble burst. [read post]
13 Apr 2010, 7:26 am
Agreement to Share Responsibility for Tax Attorney’s Fees In July 2005, the Porters signed an agreement whereby, in exchange for Wyner Tiffany paying one half of Wood’s fees, the Porters agreed to release Wyner Tiffany from liability for any tax advice given the Porters. [read post]
12 Apr 2010, 10:44 am
“As five years have passed since the large-capacity cesspool ban took effect, we’re working to ensure large-capacity cesspools are closed to protect Hawaii’s water resources. [read post]
9 Apr 2010, 5:00 am
Staffer One Day, Opponent the Next by Tom McGinty in the Wall Street Journal The revolving door can turn swiftly at the Securities and Exchange Commission. [read post]
8 Apr 2010, 3:40 am
InterOil filed a false Form D with the Securities and Exchange Commission claiming it was paying no sales commissions or finder's fees in connection with the offering, when, in fact, the company previously agreed to pay such commissions and fees. [read post]
6 Apr 2010, 1:59 pm
There are a variety of circumstances under which investors may provide sensitive tax-related information to the Securities and Exchange Commission; they may be victims of securities fraud eager to assist the SEC in recovering lost monies or, under the SEC's newly-developed policy of encouraging and rewarding cooperation -- previously reported here -- they may be low-level participants in the fraud anxious to prove their bona fides. [read post]
6 Apr 2010, 6:01 am
It has become rare for those charged with making investment decisions to buy or sell stock also to be important players in the share voting process. [1] The reasons for the divorce of investing and voting at institutional investors are: The law of large numbers (too many portfolio companies with too many ballot votes at annual shareholder meetings), and Two seminal decisions by government agencies that regulate our institutional investor community — the US Securities and… [read post]
6 Apr 2010, 4:56 am
(JIPLP) Harmonisation spreads westwards – Canada-EU Comprehensive Economic and Trade Agreement (1709 Copyright Blog) In the pipeline: Future revision of the trade mark system in the EU (BLOG@IP::JUR) European Commission opts for Benelux-first registration policy (Class 46) New GIs: Alubia de La Bañeza-León PGI for Spanish bean; Colline Pontine PDO for Italian olive oil; Chirimoya de la Costa tropical de Granada-Málaga PDO for Spanish custard-apple (Class 46)… [read post]
5 Apr 2010, 12:17 am
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
31 Mar 2010, 10:42 pm
(More details can be found in my Open Letter to the Securities and Exchange Commission here). [read post]
31 Mar 2010, 3:42 am
Possible Securities Fraud Separate and apart from new information discovered by Minkow and Lobdell, this blog has uncovered troubling false and misleading disclosures by InterOil in filings with the Canadian Securities Commissions and the Securities and Exchange Commission that violate securities laws in both countries. [read post]
30 Mar 2010, 10:34 am
FINRA became the largest independent regulator for all securities firms doing business in the United States, and is responsible for overseeing brokerage firms, their branch offices and registered securities representatives.Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
30 Mar 2010, 5:00 am
The opinion noted that under federal law, companies must register with the Commission to the extent having "500 or more record holders of a class" of equity securities and that in counting equity securities, "DTC does not count as a single holder of record. [read post]
29 Mar 2010, 9:44 am
Another key officer, former Treasurer Rich Paongo has quietly left Overstock.com (NASDAQ: OSTK) amid an ongoing Securities and Exchange Commission investigation of financial reporting violations by the company. [read post]
29 Mar 2010, 5:22 am
In July 2009, the company was charged with securities fraud by the Securities and Exchange Commission (SEC). [read post]
28 Mar 2010, 9:40 pm
" In that blog post, I documented how InterOil filed a false report with the Securities and Exchange Commission claiming that the company paid no fees for a $95 million convertible debt offering. [read post]
26 Mar 2010, 8:01 am
InterOil filed a false report with the Securities and Exchange Commission claiming that the company paid no fees for a private placement $95 million convertible debt offering. [read post]
25 Mar 2010, 7:30 am
The Securities and Exchange Commission also sued the men, along with a third alleged accomplice who wasn’t criminally charged. [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
24 Mar 2010, 6:47 am
The new wording seems wider and will capture the more subtle arrangements to prevent members insuring or re-insuring outside the pool. [read post]
