Search for: "SEC v. National Securities, Inc."
Results 261 - 280
of 488
Sorted by Relevance
|
Sort by Date
21 Oct 2014, 6:03 am
The other firms including Ameriprise Financial Inc., Lincoln National, Commonwealth Financial Network, Royal Alliance Associates, and Securities America. [read post]
30 Oct 2013, 8:00 am
Trainmen v. [read post]
8 Feb 2007, 5:00 pm
(No. 05-0381)With its review of Ross-Simmons Hardwood Lumber Co., Inc. v. [read post]
7 Jun 2011, 1:55 pm
See, e.g., In re Le Nature’s Inc. v. [read post]
15 Jul 2024, 9:01 pm
In Corner Post, Inc. v. [read post]
18 Aug 2011, 7:06 am
Howell handed the Secret Service and the Obama Administration a setback this week, ruling that White House visitor logs are agency records subject to being produced under the Freedom of Information Act [5 U.S.C. sec. 552] unless shielded by one of the Act's exemptions.The issue of public access to visitors lists has plagued both the Bush and Obama White House occupancies (see "TUOL" posts 9/7/09, 7/23/09), but in Judicial Watch, Inc. v. [read post]
11 Jan 2019, 6:30 am
Carlin, Wachtell, Lipton, Rosen & Katz, on Saturday, January 5, 2019 Tags: Accounting, Accounting standards, GAAP, SEC, SEC enforcement, Securities enforcement, Securities regulation Oral Argument on Scheme Liability Posted by Martin J. [read post]
2 Aug 2011, 1:05 am
In addition, the SEC has revoked the securities registration of many other China-based reverse merger companies. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
9 Oct 2007, 9:17 am
SEC v. [read post]
4 Oct 2010, 6:26 pm
RSR Sec. [read post]
21 Nov 2017, 11:23 am
Under that doctrine, pioneered in Chevron, U.S.A., Inc. v. [read post]
4 Oct 2010, 8:16 am
Bank v. [read post]
3 Nov 2010, 5:00 am
Fleschner, 568 F.2d 862 (2d Cir. 1977) , overruled in part on other grounds by Transamerica Mortgage Advisors, Inc. v. [read post]
1 Apr 2011, 8:27 am
Capute of the Securities and Exchange Commission (SEC), Lynn K. [read post]
27 May 2011, 7:19 am
Indeed, since SOX prohibits companies from violating rules of the Securities and Exchange Commission (SEC), a whistleblower can have a reasonable belief about a violation that has nothing to do with any fraud against shareholders. [read post]
24 May 2024, 11:03 am
She also has extensive experience representing whistleblowers in False Claims Act lawsuits and tax and securities whistleblowers with claims under the IRS and SEC whistleblower programs. [read post]
29 Jun 2018, 6:04 am
Tørsløv and Ludvig S. [read post]
28 Mar 2011, 7:02 pm
The Madoff liquidation case is Securities Investor Protection Corp. v. [read post]
24 Aug 2018, 4:32 am
SEC,] that faulted the appointment process for those judges. [read post]
