Search for: "Securities Investor Protection Corporation"
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25 Sep 2024, 2:37 pm
Since the passage of the Dodd-Frank Act, whistleblowers and the SEC have proven to be great partners in cracking down on fraud and protecting the investing public. [read post]
3 Apr 2013, 12:47 pm
Courts have also found that in retail securities accounts, for a conservative investor, an annualized turnover rate of two is suggestive, of four is presumptive, and, of six or more, is conclusive of excessive trading. [read post]
13 Oct 2020, 6:26 am
The fact that the traditional proxy season—the period from April through June when a substantial number of public companies hold their annual meetings—took place at all is a credit to the collaborative efforts and flexibility of many different participants in the proxy ecosystem, including companies, boards of directors, corporate secretaries, state governments, the Securities and Exchange Commission (SEC), various service providers, proxy advisory firms and… [read post]
17 Jun 2011, 6:00 am
The Securities and Exchange Commission (SEC) found that investors in one of Allen Stanford’s many companies were entitled to a SIPA liquidation to restore the investors’ losses from Stanford’s alleged Ponzi scheme. [read post]
23 Nov 2021, 1:59 pm
” Whistleblower awards are taken out of a Congressionally-established investor protection fund with money taken from “monetary sanctions paid to the SEC by securities law violators. [read post]
10 Nov 2009, 11:00 am
The draft also provides for strong corporate governance protections, incorporating many of the provisions of Senator Schumer's corporate governance bill, The Shareholder Bill of Rights Act, S 1074. [read post]
9 Jun 2013, 3:03 pm
USCIS must allow every party in the EB-5 ecosystem with a valid legal interest to protect the right to counsel at no expense to the government in proceedings before the agency. [read post]
21 Jul 2014, 6:16 am
BakerHostetler is recognized for its role as court-appointed counsel to the Securities Investor Protection Act (SIPA) Trustee in the recovery of billions of dollars in principal lost in the Ponzi scheme perpetrated by Bernard L. [read post]
15 Oct 2017, 6:16 pm
Alder highlighted two areas in which the SFC is working closely with the CSRC: risk management and surveillance through enhanced investor identification systems. [read post]
2 Nov 2018, 6:09 am
Corporate Governance? [read post]
20 Jun 2014, 8:09 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
7 Nov 2019, 3:34 am
Gorsuch, in particular, seemed to find the argument meritorious, asking at one point why “wouldn’t the securities law be a really good place to start and maybe finish in assessing what those long-term overall health of the corporation interests might be? [read post]
29 Feb 2024, 2:21 pm
Moreover, the NYAG is not relying just on New York’s consumer protection statutes. [read post]
16 Nov 2009, 8:00 am
Through his investment scheme, he used the investors' funds to pay for his personal expenses and lifestyle. [read post]
21 Jan 2014, 8:56 am
Wolfe didn’t otherwise try to communicate to investors that the plaintiffs’ involvement in Olivers stopped in September 2013.In state court, Wolfe secured a TRO against plaintiffs’ and Taylor Stitch’s interference with Olivers’ supply contracts; the case was removed and was pending at the time of the court’s opinion. [read post]
20 Jan 2010, 2:13 am
Under New York law, company officers are not protected by the corporate veil and are personally liable for any sales tax deficiency. [read post]
13 Jun 2011, 11:01 am
In general, like virtually all federal securities laws, the insider trading prohibition is mandatory in nature. [read post]
30 Apr 2018, 9:01 pm
The broker-dealers war against their fiduciary duties did not go unnoticed and may result in the best protection by the investors themselves.Part One. [read post]
16 Jul 2021, 8:52 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
28 Jan 2010, 3:51 pm
I can only conclude that the purpose of this release is to place the imprimatur of the Commission on the agenda of the social and environmental policy lobby, an agenda that falls outside of our expertise and beyond our fundamental mission of investor protection. [read post]
