Search for: "Securities Investor Protection Corporation"
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21 Jul 2020, 4:30 am
What Michael Carter Investors Can Do Securities lawyers at Goldman Scarlato & Penny have extensive experience in fighting for recovering losses on behalf of broker misconduct victims. [read post]
11 Dec 2018, 3:00 am
Here’s an excerpt from Steve Quinlivan’s blog: The SEC alleged CoinAlpha did not have pre-existing substantive relationships with nine of the fund’s investors and engaged in a general solicitation of public interest in the securities offering through CoinAlpha’s website, which was generally accessible without password protection. [read post]
9 May 2023, 9:01 pm
Such a remedy would have to be exercised with care, but should in fact be exercised where there is a material breach of a “clear and unambiguous” bylaw.[10] Directors have a duty to protect the stockholder franchise, and ensuring some measure of proper disclosure is a critical to that task. [read post]
6 Aug 2008, 6:01 am
Former Enron executive Lou Pai's recent settlement with the Securities and Exchange Commission confirmed that the Greed Narrative is still embraced by much of mainstream American society. [read post]
5 Jul 2015, 3:28 pm
In any event, the rules’ prohibition seems to extend only to the payment of premium for insurance protecting against the actual clawback itself, not for the payment of premium for insurance providing defense cost protection in the event a corporate official is hit with a claim for compensation clawback. [read post]
6 Sep 2016, 4:00 am
Sarbanes-Oxley ImpactFollowing the now-famous corporate scandals of Enron, Tyco, and WorldCom, the Sarbanes-Oxley Act of 2002 sought to protect retail investors from financial statement fraud. [read post]
27 May 2010, 5:08 am
Singer assisted Bush and Smart in opening numerous Citigroup accounts in their own names, as well as in the names of corporate entities they owned or controlled. [read post]
11 Apr 2016, 3:47 am
The battle reflects growing desires by Democratic lawmakers and their allies to expand the SEC’s work beyond typical investor-protection issues. [read post]
21 Mar 2010, 1:13 pm
The first will require a GAO study and recommendations on the potential for conflicts of interest between securities underwriting and the securities analysis function within a financial firm. [read post]
17 Mar 2016, 11:08 am
Firms must adopt written policies to protect their clients’ private information and they need to anticipate potential cybersecurity events and have clear procedures in place rather than waiting to react once a breach occurs. [read post]
4 Sep 2008, 6:59 pm
Back in September 2007, the Attorney General sent letters and subpeonas to Xcel Energy, AES Corporation, Dominion Resources, Dynegy Inc., and Peabody Energy (all energy companies) demanding information about the companies' analysis of the risk posed by climate change and the disclosure of that risk to investors. [read post]
3 Aug 2010, 11:32 am
Proper investments: government securities, first mortgages on land with adequate security, high grade corporate bonds, productive land. [read post]
11 Apr 2016, 3:47 am
The battle reflects growing desires by Democratic lawmakers and their allies to expand the SEC’s work beyond typical investor-protection issues. [read post]
7 Aug 2015, 6:00 am
That section was created by Dodd-Frank to establish whistleblower protections and to create rewards for anyone who brings useful information to the SEC about corporate misconduct. [read post]
7 Aug 2013, 8:34 pm
This is reinforced in the rules for disclosure of corporate activities under U.S. and other securities laws and in the construction and operation of capital markets that trade on these bundles of contributions that generate rights to firm income, assets and control. [read post]
23 Jan 2023, 10:40 am
Finally, our clients returned millions of dollars improperly obtained from investors in violation of federal securities laws and SEC regulations. [read post]
1 Jul 2010, 11:51 am
I’ll act as if an invisible force is protecting me. [read post]
28 Feb 2012, 7:09 am
Franchisees should not be expected to act contrary to their perceived interests in order to protect third parties. [read post]
5 Jan 2018, 5:35 am
In addition, five days after releasing the March 4, 2017 Breach 8-K, 21CO notified investors that its subsidiary, 21st Century Oncology, Inc. [read post]
17 Aug 2024, 6:36 pm
It has been realized in law, especially with respect to systems of assigning and shifting risk of loss in private law and in the development of norms of corporate governance. [read post]
