Search for: "Securities Investor Protection Corporation"
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5 Apr 2011, 2:06 am
Wachovia/Wells Fargo: On March 31, 2011, Southern District of New York Judge Richard Sullivan issued his rulings on the motions to dismiss in the consolidated securities litigation that had been filed on behalf former equity shareholders and bondholders of Wachovia Corporation. [read post]
28 Mar 2011, 7:02 pm
., 08-13555, while the liquidation proceeding under the Securities Investor Protection Act for the brokerage operation is Securities Investors Protection Corp. v. [read post]
28 Mar 2011, 3:15 pm
"EPA stands by the order issued to Range Resources and seeks to secure Range's full compliance," said EPA's statement. [read post]
25 Mar 2011, 2:57 pm
One can reasonably speculate that $500,000 of the cash reflected on line 2 of the Balance Sheet in the 2009 Form 990-PF may be a distribution to the Foundation in the Madoff Proceeding of the $500,000 maximum amount payable to a securities customer by the Securities Investor Protection Corporation. [read post]
24 Mar 2011, 9:46 am
The points included that there were extensive statements of legislative intent in our favor, and the specific items of legislative intent that the statements established; that some of the leading legislators of the day -- not back benchers -- delivered these statements; that CICO has almost never been used before in nearly 320 SIPC cases; that the use of CICO utterly destroys Congress’ vigorously and repeatedly stated intent that victims receive money or securities promptly from SIPC… [read post]
23 Mar 2011, 6:26 am
Breeden, 2010 ONCA 547 and Banro Corporation v. [read post]
22 Mar 2011, 4:28 am
The Specter of Securities Class Actions & Derivative Suits Absent rather extreme circumstances (e.g., Enron), it still seems fairly remote that an adverse, material, final determination of an uncertain tax position(s) not fully reserved in a company’s financial statements but reported on Schedule UTP could expose the company, its directors and officers and/or auditors to liability under securities laws or corporate law. [read post]
21 Mar 2011, 12:34 pm
For the protection of investors, SPACs are structured so that the proceeds of the IPO are held in trust until the SPAC uses the funds to consummate an acquisition. [read post]
21 Mar 2011, 8:01 am
Filed under: financial regulation, securities regulation, takeovers [read post]
16 Mar 2011, 7:36 pm
The Commissioner seeks input on the issue of 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]
16 Mar 2011, 11:06 am
He then tags me in: I wonder what Professor Bainbridge, the corporate-law-should-protect-boards theorist, thinks about it. [read post]
16 Mar 2011, 6:57 am
But at least one utility, American Electric Power (AEP), still seems to offer that rock-solid protection for a select few: its top executives. [read post]
16 Mar 2011, 1:48 am
Securities and Exchange Commission. [read post]
16 Mar 2011, 12:15 am
For good measure, the fraudster adds that the agency provides investors with insurance that will not only protect their principal amount, but also provide interest on their investment. [read post]
15 Mar 2011, 12:04 pm
The order instituting proceedings against Gupta further alleges that he stood to profit from these trades because he was an investor in Galleon funds. [read post]
13 Mar 2011, 6:33 am
Protect against corruption by mandating disclosure not only of trades but also tips. [read post]
12 Mar 2011, 6:26 pm
These have a critical role to play in the regulation and development of the securities markets and protection of interests of investors in securities. [read post]
11 Mar 2011, 2:28 pm
They learned that insuring debt securities was a mug’s game. [read post]
11 Mar 2011, 5:00 am
Securities and Exchange Commission is about 400 employees short of what it needs to manage its current workload, according to a consultant’s four- month internal review mandated by the Dodd-Frank Act. [read post]
11 Mar 2011, 5:00 am
Securities and Exchange Commission is about 400 employees short of what it needs to manage its current workload, according to a consultant’s four- month internal review mandated by the Dodd-Frank Act. [read post]
