Search for: "In Re Securities and Exchange Commission"
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14 Apr 2009, 1:29 pm
http://www.latimes.com/business/la-fi-ponzi14-2009apr14,0,1970546.storyBy Stuart Pfeifer April 14, 2009Maximum Return Investments of El Segundo and its owner misappropriated or lost $23 million from about 150 Latino investors in California and six other states, the federal regulator said in a lawsuit.The Securities and Exchange Commission filed a lawsuit Monday against an El Segundo investment firm, accusing its owner of operating a $23-million Ponzi scheme that… [read post]
13 Apr 2009, 7:15 am
“We’re going to see the interview warnings turn into something akin to the Miranda warning the police give to suspects,” said Steve Crimmins, a former Securities and Exchange Commission lawyer now at Mayer Brown. [read post]
6 Apr 2009, 2:17 am
Senator Nick Sherry, Minister for Superannuation and Corporate Law, has allowed changes to the Australian Securities Exchange (ASX) market rules to boost retail investor disclosure and protection in relation to "partly paid securities". [read post]
5 Apr 2009, 1:26 pm
In December 2008, after the Securities and Exchange Commission (”SEC”) concurred in the exclusion of shareholder proposals seeking greater disclosure of risks related to mortgage investments at Washington Mutual, a coalition of over 60 investors called on then President-Elect Obama to limit the ability of companies to exclude shareholder proposals related to corporate risk evaluation.[10] The corporate governance challenges for the companies being… [read post]
29 Mar 2009, 7:17 pm
By the way, Overstock.com reported only $40 million in revenues in 2001, not "sales of roughly $80 million" as he reportedly told Business 2.0.Even worse, many years later, in January 2008, the Securities and Exchange Commission discovered that Overstock.com did not follow Generally Accepted Accounting Principles (GAAP) from day one, despite claims by Patrick Byrne, so-called audited financial statements certified by PricewaterhouseCoopers, and Sarbanes-Oxley… [read post]
24 Mar 2009, 2:10 pm
" AIG is currently facing investigations by the New York Attorney General's office, the Federal Bureau of Investigation, the Securities and Exchange Commission, and the British Serious Fraud Office.And that is only in the last six months. [read post]
19 Mar 2009, 9:59 pm
In November 2006, the Committee on Capital Markets Regulation issued a report arguing for cutting back on regulation of financial markets, for limitations on private lawsuits and on lawsuits by state attorneys general, and for increased restrictions on the ability of the Securities and Exchange Commission to issue new rules. [read post]
13 Mar 2009, 6:48 pm
According to a Tuesday filing by PG&E with the Securities and Exchange Commission, Brown and PG&E "jointly requested" the dismissal from San Francisco Superior Court. [read post]
28 Feb 2009, 11:08 am
The law also reflects the historic perception of the guaranteed preneed contract (one that is shared by the Internal Revenue Service and the Securities Exchange Commission): the transaction is a sale of goods and services by the death care company. [read post]
23 Feb 2009, 12:02 pm
In its civil complaint in Securities and Exchange Commission v. [read post]
17 Feb 2009, 1:48 pm
By KRISTEN HAYS and TOM FOWLER Copyright 2009 Houston Chroniclehttp://www.chron.com/disp/story.mpl/front/6266846.html The Securities and Exchange Commission today filed civil charges <[www.sec.gov]> against Texas billionaire Robert Allen Stanford, his offshore bank, two of his Houston-based companies and two other officers, alleging that they have orchestrated a multibillion-dollar investment fraud scheme on certificates of deposit. [read post]
17 Feb 2009, 11:15 am
In the wake of Bernard Madoff's alleged $50 billion Ponzi scheme, the United States Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies with orchestrating multi-billion dollar fraudulent investment schemes. [read post]
16 Feb 2009, 1:50 pm
Securities and Exchange Commission, the Texas State Securities Board and FINRA. [read post]
12 Feb 2009, 9:28 pm
In a filing to the Securities and Exchange Commission, the investment bank said it had discovered actions initiated by an unnamed China-based employee that "appear to have violated" the act. [read post]
5 Feb 2009, 7:45 am
On February 2, 2009 the Securities and Exchange Commission published the text of its new rules for credit rating agencies registered as nationally recognized statistical rating organizations (NRSROs). [read post]
5 Feb 2009, 4:22 am
A whistleblower who repeatedly warned the Securities and Exchange Commission that Bernard Madoff was perpetrating a massive investment fraud testified yesterday that the regulatory agency that oversees financial markets is inept, "financially illiterate" and far too cozy with the financial titans it is supposed to be regulating. [read post]
29 Jan 2009, 4:03 pm
It was a serious lapse of judgment, not to mention responsibility, on the part of the Federal Reserve under Greenspan and the Securities and Exchange Commission under Christopher Cox to fail to seek more comprehensive information far earlier about the surge of lending. . . . [read post]
29 Jan 2009, 2:44 pm
The court said the Securities and Exchange Commission was going beyond its statutory authority and effectively ended all mandatory registration of hedge funds with the Securities and Exchange Commission unless and until Congress takes action. [read post]
28 Jan 2009, 9:40 am
Securities and Exchange Commission; Ms. [read post]
24 Jan 2009, 12:20 pm
The Senate on Thursday confirmed President Barack Obama's nomination of Mary Schapiro as Chair of the Securities and Exchange Commission. [read post]
