Search for: "-MJW Securities and Exchange Commission v. Majors et al"
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11 Feb 2015, 7:32 am
Credit Suisse Group AG, et al., Feb. 5, 2015).Price manipulation. [read post]
10 Feb 2021, 10:55 am
In Chong et. al. v. [read post]
31 Mar 2010, 3:42 am
Phil Mulacek et. al.). [read post]
5 Aug 2009, 4:00 am
See In the Matter of Pryor, McClendon, Counts & Co., Inc. et al., Securities Act Release No. 7673 (Apr. 29, 1999); Securities Act Release No. 8062 (Feb. 6, 2002); Exchange Act Release No. 48095 (June 26, 2003); Securities Act Release No. 8245 (June 26, 2003); Securities Act Release No. 8246 (June 26, 2003). [read post]
15 Apr 2020, 6:50 am
BP PLC, et al.). [read post]
15 Jan 2014, 12:11 am
However, as with making a trade in the stock market, for larger currency exchanges, the banks will post two different prices: the bid price and the offer (or ask) price. [read post]
4 Jan 2024, 12:10 pm
”According to FINRA, this matter reportedly originated from an Investor Complaint Form submitted to FINRA referencing Securities and Exchange Commission v. [read post]
8 Jul 2008, 8:53 am
For additional information contact [www.gallerywatch.com]
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07/07/2008
Memorandum of Understanding Between the Securities and Exchange Commission and the Board of Governors of the Federal Reserve System (PDF 37.4 KB)Memorandum Announces an Agreement to Increase Information Sharing in Matters Pertaining to the Gramm-Leach-Bliley Act and for Other Purposes07/07/2008
Memorandum to EPA… [read post]
22 Dec 2008, 10:30 pm
Federal Energy Regulatory Commission, et al. [read post]
17 Jun 2009, 1:50 pm
” The government brief was filed for the U.S. as an amicus in Jones, et al., v. [read post]
25 Oct 2022, 10:46 am
Securities and Exchange Commission v. [read post]
18 Jun 2009, 5:19 pm
Kent School District, et al.; Kent School District, et al. v. [read post]
7 Aug 2007, 11:03 am
Chandler, et al. v. [read post]
27 Jul 2011, 2:00 am
After trial, the lower court ruled that the shares underlying cash-settled, total-return equity swaps could be deemed “beneficially owned” by the “long party” to the swap transaction, a position seemingly at odds with the custom in the industry, legal commentators and even the Securities and Exchange Commission, which indicated its support for TCI and 3G’s position through a submission to the trial court. [read post]
16 Mar 2020, 1:54 pm
This would be significant to the extent it opens an avenue to primary liability for a class of persons who previously may only have faced secondary liability under the statutory “aiding and abetting provision,” which contains no private right of action and is therefore only enforceable by the Securities and Exchange Commission. [read post]
23 Jul 2018, 1:02 pm
McDonnell et al., 1:18-cv-00361 (E.D.N.Y. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
1 Sep 2014, 9:23 pm
Esther Salas, in The Federal Trade Commission, Plaintiff, v. [read post]
16 Feb 2021, 2:23 pm
In Salzberg v. [read post]
