Search for: "Securities and Exchange Commission"
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26 Jan 2013, 8:59 pm
Securities and Exchange Commission. [read post]
6 May 2007, 3:09 pm
I'll be in DC tomorrow participating in the Securities and Exchange Commission's Proxy Process Roundtable. [read post]
5 Oct 2012, 12:42 am
Securities and Exchange Commission. [read post]
16 Apr 2007, 7:11 am
WASHINGTON — The Securities and Exchange Commission is exploring a new policy that could permit companies to resolve complaints by aggrieved shareholders through arbitration, limiting shareholders’ ability to sue in court. [read post]
22 Sep 2010, 6:14 pm
Vision Capital Advisors LLC, a New York-based hedge fund manager that has figured into several Sharesleuth stories (here and here), said Wednesday that the Securities and Exchange Commission is investigating its activities. [read post]
19 Feb 2009, 12:45 pm
You've likely read about the Securities and Exchange Commission actions against Stanford Group, including a fraud lawsuit in the Northern District of Texas, Dallas Division, and an FBI raid at Stanford's Houston headquarters. [read post]
8 Sep 2010, 9:45 am
Securities and Exchange Commission recently released a proxy rule that will require companies, under certain circumstances, to include shareholder nominees for director in the company's proxy materials. [read post]
6 Mar 2009, 12:39 pm
Frank Razzano is a partner in Pepper's Washington office and focuses his practice on white collar criminal defense, with a special emphasis on Securities & Exchange Commission enforcement. [read post]
30 Sep 2010, 2:03 pm
Financial Industry Regulatory Authority (FINRA) announced that it will file a rule proposal with the Securities and Exchange Commission next month that will allow investors to opt for all-public panels in arbitration claims. [read post]
29 Mar 2011, 2:38 pm
The Federal Deposit Insurance Corporation, US Securities & Exchange Commission, Federal Reserve System, Federal Housing Finance Agency, and Department of Housing and Urban Development unveiled their new risk retention proposal today. [read post]
25 Jul 2012, 6:25 am
Securities and Exchange Commission. [read post]
16 Apr 2010, 2:54 pm
The United States Securities Exchange Commission (SEC) today brought a securities fraud action against Goldman Sachs and one of its vice presidents, accusing them of misstating and omitting key facts about a financial product tied to subprime mortgages it sold as the housing market was showing signs of distress. [read post]
12 Jan 2012, 1:09 pm
The hedge fund and securities industries are concerned that the proposed definition of eligible contract participant under the Dodd-Frank Act will cause substantial disruptions to financial markets. [read post]
29 May 2021, 7:40 am
Securities and Exchange Commission. [read post]
28 Sep 2018, 7:58 am
A former Wells Fargo registered representative in Daytona, Ohio is facing charges by the Securities and Exchange Commission for defrauding investors out of over a million dollars in a fraudulent scheme that targeted seniors. [read post]
16 May 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
16 Dec 2011, 11:41 am
Securities and Exchange Commission today charged six top former executives of Fannie Mae and Freddie Mac with securities fraud, alleging that they knowingly approved misleading statements about the government-sponsored entities' holdings of risky mortgages. [read post]
20 Jul 2010, 8:15 am
Securities and Exchange Commission (SEC) announced last week that Goldman, Sachs & Co. had agreed to pay $550 million to settle charges that the company had misled investors respecting a subprime mortgage product. [read post]
22 Jul 2009, 9:43 am
On July 21, 2009, the Securities and Exchange Commission ("SEC") filed a Complaint against Morgan Keegan & Company, Inc. in the United States District Court for the Northern District of Georgia for misleading investors about the liquidity risks of auction rate securities that it sold. [read post]
8 Oct 2018, 4:56 pm
On September 27, 2018, both the Securities and Exchange Commission (“SEC”) and the Commodity Futures Trading Commission (“CFTC”) filed charges against Marshall Islands-based firm 1pool Ltd. [read post]
