Search for: "CUBAN v. SECURITIES AND EXCHANGE COMMISSION"
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19 Jun 2012, 5:07 pm
SEC v. [read post]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
8 Nov 2010, 5:00 am
Mark Cuban (“Cuban”) submitted two separate FOIA and the Privacy Act requests to the Securities and Exchange Commission (“SEC”) covering twenty categories of information. [read post]
17 Feb 2016, 11:30 am
Lucia (collectively “Lucia”) in Lucia v. [read post]
10 Apr 2012, 12:36 pm
Norris (“Norris”) petitions for review of an arbitrator’s decision affirming his removal from his position as a Trial Attorney with the Securities and Exchange Commission (“SEC”). [read post]
17 Jul 2009, 12:02 pm
Judge Fitzwater gave the Securities and Exchange Commission 30 days to file an amended complaint. [read post]
2 Feb 2010, 11:01 am
BNA reports: In a long-anticipated brief, the Securities and Exchange Commission argued that a district court failed to give proper deference to one of its rules in dismissing insider trading charges against high profile entrepreneur Mark Cuban (SEC v. [read post]
11 Feb 2016, 8:19 am
In his amicus brief supporting Lucia, Mark Cuban argued that the SEC has ignored the plain language of the Securities Act, which requires all hearings to be public and held before “the Commission or an officer or officers of the Commission. [read post]
3 May 2022, 6:32 am
Securities and Exchange Commission, submitted on behalf of Mr. [read post]
3 May 2022, 6:32 am
Securities and Exchange Commission, submitted on behalf of Mr. [read post]
5 May 2022, 12:15 am
Securities and Exchange Commission, S. [read post]
20 Oct 2023, 6:54 am
On March 1, 2011, the Securities and Exchange Commission . . . decided it preferred its home turf. [read post]
20 Oct 2009, 4:00 am
Either the Securities and Exchange Commission has stepped up its enforcement of insider trading or it’s doing a better job of publicizing its enforcement. [read post]
24 Feb 2020, 6:02 am
The ability of the Securities and Exchange Commission (SEC) to prosecute enforcement actions selectively through its own administrative proceedings is under constitutional attack in cases pending in the Fifth and Ninth Federal Judicial Circuits. [read post]
18 Apr 2017, 4:29 am
Securities and Exchange Commission, which asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements. [read post]
11 Apr 2017, 10:24 am
Since 1970, the Securities and Exchange Commission has claimed, and courts have readily conceded, that the commission may sue violators of the federal securities laws for disgorgement of their ill-gotten gains. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
13 Jan 2012, 8:54 am
In SEC v. [read post]
22 Jun 2022, 3:00 am
The case stems from a challenge by former Xerox Corp. chief financial officer Barry Romeril, who sued for the ability to deny the Securities and Exchange Commission’s fraud allegations after he signed a 2003 settlement with the agency. [read post]
15 Aug 2011, 8:54 am
Circuit Court of Appeals issued an Opinion vacating Exchange Act Rule 14a-11. [read post]
