Search for: "Securities Investor Protection Corporation"
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22 Jun 2011, 7:57 am
June 21, 2011 VOTE NO ON H.R. 1249 SPECIAL INTEREST PATENT BILL BENEFITS FOREIGN MULTINATIONAL CORPORATIONS OVER U.S. [read post]
21 Jun 2011, 2:00 am
Most companies have been using social media as a “supplement” to their existing corporate communications/investor relations procedures (i.e. live tweeting an earnings call). [read post]
20 Jun 2011, 12:04 pm
Allen Stanford's alleged Ponzi scheme to be treated as brokerage customers by the Securities Investor Protection Corporation. [read post]
20 Jun 2011, 6:02 am
The Securities Investor Protection Corporation (SIPC) is warning investors that a scammer -- or perhaps a group of scammers -- is preying on people who have already been victimized by previous investment scams, calling them or sending them unsolicited emails in an attempt to steal their money and their most sensitive personal and financial information. [read post]
20 Jun 2011, 2:14 am
Additionally, the extension is necessary to allow the Department 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]
17 Jun 2011, 6:00 am
The Securities and Exchange Commission (SEC) found that investors in one of Allen Stanford’s many companies were entitled to a SIPA liquidation to restore the investors’ losses from Stanford’s alleged Ponzi scheme. [read post]
17 Jun 2011, 1:47 am
For example, earlier this week, NYSE-traded and China-based agricultural company Agria Corporation announced (here) that it had settled the securities class action lawsuit that had been filed against the company, in exchange for a payment by the company’s D&O insurers of $3.75 million. [read post]
16 Jun 2011, 1:38 pm
As such, the SEC referred the case to the Securities Investor Protection Corporation and asked the SIPA to initiate a court proceeding to liquidate the SGC. [read post]
16 Jun 2011, 6:35 am
The SEC concluded that certain individuals who invested money through the Stanford Group Company are entitled to the protections of the Securities Investor Protection Act of 1970 (SIPA) and asked the Securities Investor Protection Corporation (SIPC) to initiate a court... [read post]
15 Jun 2011, 2:31 pm
The Stanford Group Company is a member of the Securities Investor Protection Corporation, which was chartered by Congress to restore funds to investors with assets in the hands of bankrupt and otherwise financially troubled brokerage firms. [read post]
15 Jun 2011, 9:03 am
Written comments may also be mailed to the attention of Joseph Brady at NASAA's corporate office in Washington, D.C. [read post]
13 Jun 2011, 11:01 am
In general, like virtually all federal securities laws, the insider trading prohibition is mandatory in nature. [read post]
10 Jun 2011, 11:29 am
National Security Reviews of Foreign Direct Investment (2006-2008)Nassib G. [read post]
10 Jun 2011, 4:48 am
Writing for investor mega-portal Seeking Alpha, Alfred Little explains how easy it is for Chinese companies to secure doctored paperwork that overstates their profits: Bank statements, confirmation letters and contracts of all types, government filings, ownership certificates and tax invoices are all paper documents easily forged by dishonest management with the help of a few dishonest bank and government officials…Dishonest management can keep turning paper into gold until… [read post]
9 Jun 2011, 4:06 am
Senators Ask SEC for Guidance on Information Security Risk Disclosure While my computer recovers from a meltdown, here is a guest blog courtesy of Jim Brashear, General Counsel, Zix Corporation: Spate of Data Security Incidents The news media recently have reported many high-profile breaches of corporate data security. [read post]
8 Jun 2011, 5:54 am
Investors pay the SPE which then pays the debtor. [read post]
2 Jun 2011, 6:59 pm
Is the company defrauding its investors and shareholders? [read post]
2 Jun 2011, 5:59 pm
Is the company defrauding its investors and shareholders? [read post]
2 Jun 2011, 7:42 am
Brief Summary of Rules Section 922 of Dodd-Frank added new Section 21F to the Securities Exchange Act of 1934 entitled, “Securities Whistleblower Incentives and Protection. [read post]
1 Jun 2011, 5:48 am
“Treaty shopping” involves the enterprise locating an affiliate in a jurisdiction that has signed an investment protection treaty with the host country, allowing various affiliates and/or the parent in a group enterprise to benefit from treaty protection even though they possess the nationality of a state that has no such agreement with the host. [read post]
