Search for: "United States Securities and Exchange Commission"
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28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Ban... [read post]
28 Nov 2022, 3:50 am
United States Securities and Exchange Commission, Defendant (Complaint, SDNY)FTX Was Not Regulated: John Reed Stark (Bloomberg Crypto Show) Wall Street Whistleblowers Tip Off SEC -- But Hear Nothing Back (Bloomberg, DEEP DIVE by John Holland) DOJ RELEASES Wisconsin Man Indicted for $35 Million Bank Fraud Scheme (DOJ Release) Man... [read post]
3 Nov 2015, 10:30 am
On October 30, 2015, the United States Securities and Exchange Commission (“SEC”) moved forward in implementing Title III of the JOBS Act and adopted new rules permitting companies to offer and sell securities to all potential investors through crowdfunding. [read post]
13 Oct 2015, 8:13 am
On September 30, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint in the United States District Court for the Central District of Illinois (the “Complaint”), charging the former CEO, President and Chairman of the Board, David P. [read post]
8 Apr 2009, 4:11 am
The Securities and Exchange Commission will consider reinstating the "uptick rule," which allowed short sales - a bet that a stock's price [...] [read post]
23 Apr 2007, 8:39 pm
The Securities and Exchange Commission announced on April 23, 2007, that the United States District Court for the Northern District of Alabama has entered a Final Judgment against defendant Richard M. [read post]
31 Dec 1969, 4:00 pm
§2462 applies to disgorgement in Securities and Exchange Commission (SEC) enforcement proceedings. [read post]
6 Jul 2007, 10:57 am
Late last month, the Securities and Exchange Commission sued Mr. [read post]
11 Jun 2023, 3:05 am
The membership-based regulator, which is overseen by the United States Securities and Exchange Commission, announced the fine on Thursday. [read post]
15 Dec 2006, 5:12 am
The Securities and Exchange Commission, the United States attorney for the Southern District of New York and the company's audit committee have raised questions about Dell's financial reporting. [read post]
15 Jun 2011, 1:00 pm
The Article also provides that attempts and conspiracies to commit these offenses, and participation in the commission of the offenses, are also extraditable when the underlying criminal act is also a violation of Swiss federal law. [read post]
7 Sep 2017, 8:18 am
The Securities and Exchange Commission today announced that State Street has agreed to pay more than $35 million to settle charges that it fraudulently charged secret markups for transition management services and separately omitted material information about the operation of its platform for trading U.S. [read post]
28 Sep 2018, 7:58 am
The SEC filed a complaint against John Gregory Schmidt with the United States District Court for the Southern District of Ohio on Tuesday. [read post]
11 Jan 2019, 3:21 am
Securities and Exchange Commission / Hacking and Trading Scheme Involved Theft of Thousands of ‘EDGAR’ Filings, Including Draft Earnings Reports of Publicly Traded Companies before Reports were Made Public (DOJ Press Release)https://www.justice.gov/usao-nj/pr/two-ukrainian-nationals-indicted-computer-hacking-and-securities-fraud-scheme-targetingIn a Complaint filed in the United States District Court for the District of New Jersey… [read post]
24 Sep 2018, 2:24 am
BREAKING NEWS: United States Securities and Exchange Commission, Plaintiff, v. [read post]
25 Jul 2022, 4:10 am
United States Securities and Exchange Commission, United States of America, Respondents (2Cir Opinion)... [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
31 Aug 2017, 8:41 am
Gana LLP is examining claims made by the United States Securities and Exchange Commission against broker Michael Siva (Siva). [read post]
27 Jun 2018, 6:05 am
Securities and Exchange Commission, it’s clear that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the United States” under the Appointments Clause of the US Constitution. [read post]
