Search for: "In Re Securities and Exchange Commission"
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1 Jul 2009, 7:49 am
"Funds with the same target date in their names can be structured, and thus perform, very differently," says Mary Shapiro, Chairperson of the Securities and Exchange Commission. [read post]
26 Jun 2009, 12:26 pm
You may be aware of proposals being discussed by the International Organization of Securities Commissions (IOSCO) regarding the relationship between hedge funds and their prime brokerages and banks, which will require new oversight and rules of the road. [read post]
26 Jun 2009, 9:17 am
Nothing provokes more fights and nasty exchanges in theme parks than impatient folks who won't wait their turn. [read post]
22 Jun 2009, 7:00 pm
The maximum sentence is 150 years in a federal prison, based on Madoff's guilty plea to 11 criminal counts, including fraud, money laundering, perjury, false filing with the Securities and Exchange Commission, and other crimes. [read post]
22 Jun 2009, 5:07 am
The Securities and Exchange Commission (SEC) filed a civil case against Stanford and several Stanford International Bank executives in February, so Friday's indictment had long been expected. [read post]
21 Jun 2009, 5:00 pm
The Securities and Exchange Commission (SEC) filed a civil case against Stanford and several Stanford International Bank executives in February, so Friday's indictment had long been expected. [read post]
18 Jun 2009, 5:19 pm
(in support of petitioner) Docket: 08-1443 Title: In re Troy Davis Issue: After the capital defendant has exhausted relief from any other court and seven of nine State witnesses have recanted their trial testimony, should the Court grant “original” habeas and transfer the case to a federal District Court to hold an evidentiary hearing? [read post]
17 Jun 2009, 2:11 pm
"We're almost certain there are people in Lafayette that lost money," said Scott Bailey, an investigator with the attorney general's Special Prosecutions Unit. [read post]
17 Jun 2009, 7:24 am
My friend David at It's Not a Lecture tipped me off last night that President Obama was going to announce new financial regulatory efforts to help prevent the Wall Street shenanigans that have put us in our current economy and to better protect American consumers.As someone who spent a bunch of years at the Securities and Exchange Commission, I'm all for trying to find ways to keep the Bernie Madoff's of the world at bay. [read post]
15 Jun 2009, 9:24 pm
Question 14C, which inquires about SEC and Commodity Futures Trading Commission (CFTC) regulatory actions, adds three new questions regarding willful violations. [read post]
12 Jun 2009, 11:03 am
Osborne Professor of Law at Stanford, and prior to that, a Professor of Law at Columbia Law School, counsel to a commissioner of the Securities and Exchange Commission, an attorney at Skadden Arps in New York, and a clerk for the Hon. [read post]
9 Jun 2009, 11:20 pm
Dan Hurson, United States: A New Approach For The SECâ€â [read post]
9 Jun 2009, 9:32 pm
The Massachusetts Securities Division and the Securities and Exchange Commission had accused Evergreen and one of its affiliates of inflating the value of its Ultra Short Opportunities Fund by up to 17%. [read post]
5 Jun 2009, 12:14 pm
He was also convicted of obstructing justice for concealing documents that the Securities and Exchange Commission and federal prosecutors sought in an investigation. [read post]
4 Jun 2009, 5:00 am
Nonetheless, exposure of the voting process was likely to lead to substantive changes in behavior (see Essay: Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure). [read post]
28 May 2009, 4:00 am
On May 14, the Securities Exchange Commission said they were proposing New Custody Rules for Investment Advisers. [read post]
26 May 2009, 6:58 am
It's dark and rainy and everybody seems to be working.Bah humbug.Oh this is exciting -- all you broker/dealer securities litigators may get a boost from this proposed FINRA revision: The Financial Industry Regulatory Authority, or Finra, is requesting comment on whether it should file a rule proposal with the Securities and Exchange Commission that could expand existing suitability obligations for brokers. [read post]
24 May 2009, 11:37 pm
International Trade Commission, 545 F.3d 1340 (Fed. [read post]
21 May 2009, 1:42 am
Discovery Dispute Leads SEC to Seek Attorney Sanctions
Daily Business Review
The Securities and Exchange Commission is seeking sanctions against three Akerman Senterfitt attorneys and a Miami solo, accusing the attorneys of dragging out the discovery process by erroneously arguing that documents sent by U.S. [read post]
20 May 2009, 7:36 am
" In re NYSE Specialists Securities Litigation, 503 F.3d 89 (2007): In this case, the Second Circuit considered a lawsuit brought against, inter alia, the New York Stock Exchange, alleging that the NYSE had failed to adequately police the seven firms through which stock trades are funneled. [read post]
