Search for: "In Re Securities and Exchange Commission"
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17 Aug 2012, 5:35 am
Securities and Exchange Commission has charged an executive at Bristol-Myers Squibb with insider trading, citing his Internet searches as support that he tried to cover up his illegal acts. [read post]
1 Feb 2011, 1:36 pm
The Securities and Exchange Commission has charged eight people with fraud in a global, $33-million pump-and-dump scheme involving Chinese companies that went public in the U.S. through reverse mergers.The defendants include Francis A. [read post]
22 Dec 2016, 9:26 am
Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
14 Dec 2015, 2:54 am
A long time ago in a regulatory galaxy far away, the Securities and Exchange Commission Empire was engaged in a period of civil litigation. [read post]
26 Jan 2018, 8:58 am
Case In PointOn October 16, 2017, the United States Securities and Exchange Commission filed an Order Instituting Administrative Proceedings and Notice of Hearing (“OIP”) a... [read post]
14 Dec 2015, 3:00 am
SEC Fails To Destroy Daspin Death Star Over Cloud City Of DaspinA long time ago in a regulatory galaxy far away, the Securities and Exchange Commission Empire was engaged in a period of civil litigation. [read post]
18 May 2016, 8:47 am
What's worse is that when it finally comes time for the Securities and Exchange Commission to decide what needs to be done to protect the public from this guy, well, you're not gonna believe this, but the federal regulator couldn'... [read post]
20 Feb 2018, 3:19 am
A long time ago in a regulatory galaxy far away, the Securities and Exchange Commission Empire was engaged in a period of civil litigation. [read post]
18 Oct 2013, 2:44 am
Recently, the Securities and Exchange Commission's Office of Investor Education and Advocacy ("OIEA") has issued a number of commendable investor warnings that unlike many prior efforts now seem to have far more meat on their bones. [read post]
30 Apr 2015, 5:48 am
A recent Securities and Exchange Commission ruling sheds some interesting light on how such problems are addressed.Case In PointIn The Matters Of Reliance Financial Advisors, LLC, Timothy S. [read post]
31 May 2014, 6:00 am
Although US Securities and Exchange Commission (SEC) enforcement actions related to financial fraud and issuer disclosures have been on a decline since 2007, recent statements and actions suggest that the SEC is likely to re-focus its efforts on detecting, pursuing, and preventing accounting fraud. [1] Since her confirmation as Chair of the SEC, Mary Jo White has made it clear that her administration will focus on identifying and investigating accounting abuses at… [read post]
3 Jun 2008, 2:48 am
In doing so, Congress and the Securities and Exchange Commission pressured Delaware to update is law on directorial roles. [read post]
20 Feb 2023, 9:01 pm
Securities and Exchange Commission (“SEC”) issued a proposed rule to prohibit material conflicts of interest in the sale of asset-backed securities (“ABS”). [read post]
2 Aug 2011, 5:51 am
They were right – the four Gen Re executives and the AIG executive were all convicted of conspiracy, mail fraud, securities fraud, and making false statements to the Securities and Exchange Commission Tom notes that the court rejected other arguably sound bases for reversal and that It’s never easy being an appellant, even after a trial that is chock full of prosecutorial misconduct. [read post]
24 Jun 2019, 11:59 am
” The definition of an investment contract is “an investment of money in a common enterprise, with an expectation of profits based solely on the efforts of the promoter” (Securities and Exchange Commission v. [read post]
22 Sep 2011, 6:35 am
Jim Copland speaks with Harvey Pitt, former chairman of the Securities and Exchange Commission, about shareholder proposal trends over the last four years and how the SEC has changed since Dodd-Frank. [read post]
7 Dec 2009, 5:42 pm
A long awaited lawsuit from the Securities and Exchange Commission against former executives from mortgage giant New Century arrived Monday. [read post]
20 Apr 2011, 6:09 am
Less than a year after Bernard Madoff turned himself in, a lawsuit was filed against the Securities & Exchange Commission, blaming the agency for allowing the Madoff swindle to happen. [read post]
3 Mar 2024, 7:51 pm
Don’t treat this as optional: Recent attacks on the Securities and Exchange Commission’s official X account and thousands of accounts at 23andMe might have been blocked had those users enabled 2FA. [read post]
16 Oct 2014, 5:00 am
Don’t make the mistake even worse by faking a document you submit to the Securities and Exchange Commission in order to cover your original mistake. [read post]
