Search for: "Securities Investor Protection Corporation"
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13 Feb 2012, 2:01 pm
Don’t kid yourself into finding security in FDIC insurance. [read post]
SEC Gets Initial Victory in Lawsuit Against SIPC Over Payments Owed to Stanford Ponzi Scam Investors
10 Feb 2012, 5:32 pm
Judge Hands SEC Initial Victory In Suit Against Insurance Fund, The Wall Street Journal, February 9, 2012 Securities Investor Protection Corporation Compensating Stanford’s Investors, NY Times, June 20, 2011 More Blog Posts: SEC and SIPC Go to Court to Over Whether SIPA Protects Stanford Ponzi Fraud Investors, Stockbroker Fraud Blog, February 6, 2012 SEC Sues SIPC Over R. [read post]
10 Feb 2012, 1:25 pm
Inc. and its subsidiary Morgan Stanley Smith Barney LLC were fined $1 million by FINRA for excessive markups and markdowns in corporate and municipal bond transactions. [read post]
9 Feb 2012, 3:38 pm
The California Department of Corporations stated that intended to “study how best to regulate advisers to alternative investment vehicles, while balancing the regulatory burden on such advisers, with any corresponding investor protections issues. [read post]
8 Feb 2012, 2:20 pm
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 and Boca Raton, Florida. [read post]
8 Feb 2012, 7:39 am
bit.ly/yidh22 (Craig Ball) Reports and Resources 2011 Year-End Data Privacy and Security Update – bit.ly/xeMiYu (Gibson Dunn) 76% of Business Execs Would Pay Premium for Certified Information Professionals – bit.ly/yJcLap (John Mancini) AIIM Study Shows Eliminating Paper From Processes Improves Customer Response Times by 300 Percent – bit.ly/z437qz (Marketwire) eDiscovery Best Practices: A Staged Look At Process And Law (Google+) bit.ly/Ash9Zd (@OrangeLT) Pretrial… [read post]
7 Feb 2012, 5:09 am
The aggregate amount sold to any investor inreliance upon this exemption within the previous 12-month period shall not exceed $1,000.For purposes of this individual investment limitation, the following investors shall betreated as one investor: (A) Any relative, spouse or relative of the spouse of an investor whohas the same principal residence as the investor; (B) Any trust or estate in which an investor and any related person as specified in … [read post]
6 Feb 2012, 5:07 pm
It settles cases without extracting admissions of wrongdoing, and, according to the Times' most recent front-page piece of criticism last Friday, it too often has "waived" certain penalties designed to protect investors against fraud. [read post]
6 Feb 2012, 5:08 am
As Inc. magazine said in recounting its top ten lies to never tell investors, “We filed patents so our intellectual property is protected. [read post]
5 Feb 2012, 10:17 am
Investor is defined in Art. 1(b) and prima facie, a corporation registered under the laws of Mauritius would qualify. [read post]
4 Feb 2012, 10:04 am
Fraudulent misrepresentation -- Securities act violations -- Fraudulent inducement to purchase stock in corporation -- Complaint alleging that plaintiffs were misled regarding facts material to transaction known to defendants due to superior knowledge, which defendants concealed, sufficiently pled claims for fraudulent misrepresentation and securities act violations -- Trial court erred in dismissing claimsGEMINI INVESTORS III, L.P., ET AL., Appellants, vs. [read post]
3 Feb 2012, 9:08 am
“The purpose of taking away this simplified path to capital is to protect investors, not to punish a company,” Meredith B. [read post]
3 Feb 2012, 6:11 am
On the securities side there is the Securities Investor Protection Corporation (SIPC) which provides insurance coverage of up to $500,000 of securities and up to $250,000 in cash in the event that a broker-dealer fails. [read post]
3 Feb 2012, 4:18 am
Here is an excerpt with a quote from Corp Fin Director Meredith Cross: "The purpose of taking away this simplified path to capital is to protect investors, not to punish a company," said Meredith B. [read post]
2 Feb 2012, 2:11 pm
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 and Boca Raton, Florida. [read post]
31 Jan 2012, 11:10 pm
Professor cummings teaches and writes about investor protection and corporate law; race, affirmative action and social Justice; and entertainment and sports law. [read post]
31 Jan 2012, 6:56 pm
Let me help protect your rights and ensure a smooth process from story to pre-production! [read post]
31 Jan 2012, 2:41 pm
• Unlocking capital access for growing companies: The President is putting forward responsible measures that will help growing businesses access financing consistent with investor protections, including: o Expand Mini-Offering Limits: The President is calling to raise the offering limit under Regulation A from $5 million to $50 million, coupled with strong investor protections. o Crowdfunding: The President is calling for a… [read post]
30 Jan 2012, 1:45 pm
Investors, for their part, will be more likely to risk providing funding a full application if they know that rights to the invention are protected by a provisional application. [read post]
30 Jan 2012, 2:00 am
We also discuss two rulings from the Southern District of New York: one largely denying a motion to dismiss a credit crisis-related suit against GE; and another holding that investors in Madoff feeder funds do not qualify as “customers” under the Securities Investor Protection Act. [read post]
