Search for: "Matthew Garza"
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29 Jan 2016, 11:54 am
By Matthew Garza, J.D.The SEC has ordered a New York investment adviser and its Toronto-based manager to return $2.877 million to investors after finding that the manager lied about the performance of the fund and deviated from the fund’s established strategy by plowing most of investor funds into a single penny stock. [read post]
20 Oct 2015, 3:21 am
By Matthew Garza, J.D.In light of the Supreme Court’s recent denial of certiorari in the insider trading criminal case against Todd Newman and Anthony Chiasson, attorneys for the pair have filed for summary judgment in the SEC’s 2012 civil suit. [read post]
29 Sep 2023, 6:36 am
Reynaldo Guerra Garza: First Mexican-American Appointed to the Federal Bench (1915-2004) Reynaldo Guerra Garza is regarded as the first Mexican-American appointed to a federal court. [read post]
2 Nov 2015, 5:00 am
By Matthew Garza, J.D.A claim against Merrill Lynch for aiding and abetting a breach of duty by directors of Zale Corporation was dismissed after the Delaware Court of Chancery accepted that it had misinterpreted the correct standard to apply to the underlying breach-of-duty claim. [read post]
23 Mar 2015, 6:32 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Congressman Stephen F. [read post]
24 Mar 2015, 5:33 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.Investor communication firm Broadridge Financial Solutions and PricewaterhouseCoopers have released an analysis of the 2014 proxy “mini-season,” which included data from 1,077 public company shareholder meetings held between July 1 to December 31, 2014, and provided a preview of the 2015 proxy season in a new edition of the ProxyPulse newsletter. [read post]
24 Oct 2014, 10:17 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.The SEC’s Chief Administrative Law Judge has determined that the Securities Industry and Financial Markets Association (SIFMA) has standing to challenge rule changes made by NYSE and NASDAQ that establish fees for access to depth-of-book data. [read post]
1 Sep 2015, 7:27 am
By Matthew Garza, J.D.Members of the board of directors of mobile technology company QualComm, Inc. were victorious in a legal battle launched by an investor over amendments made by the company’s compensation committee to increase stock options granted to the directors in 2010 and 2011. [read post]
18 Oct 2014, 1:19 pm
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.In remarks before the Outlook 2014 conference, sponsored by the Managed Funds Association, CFTC Chairman Timothy Massad shared his views on two of the most pressing issues currently before the CFTC—tweaking the rules mandated by the Dodd-Frank Act, and cross border harmonization.End-users. [read post]
8 Apr 2015, 11:42 am
By Matthew Garza, J.D.The SEC made a prima facie showing that partnership interests sold by a San Diego company represented a sale of unregistered securities in violation of Securities Act Section 5, but did not meet its burden on a motion for summary judgment to show that the sales did not qualify for a Regulation D exemption (SEC v. [read post]
5 Nov 2014, 7:17 am
[This story previously appeared in Securities Regulation Daily.]By Matthew Garza, J.D.A California-based maker of medical diagnostic and life science equipment will pay $40.7 million in disgorgement to the SEC and $14.35 in penalties to the Department of Justice (DOJ) to settle violations of the Foreign Corrupt Practices Act (FCPA). [read post]
26 Oct 2015, 5:00 am
By Matthew Garza, J.D.Chief Justice Leo Strine put to rest a dispute over the makeup of the board of two closely related technology companies after finding that the Delaware Chancery Court properly used new “clean up” provisions in the Delaware General Corporation Law (DGCL) to validate improperly issued stock (In re Numoda Corporation, October 22, 2015, Strine, L.)The case involved three siblings, John Boris, Ann Boris, and Mary Schaheen, who founded and controlled… [read post]
28 Apr 2015, 6:45 am
By Matthew Garza, J.D.The SEC staff has granted no-action relief to Hertz Global Holdings, Inc. to allow the company to grant equity compensation awards to employees despite the fact that an ongoing review of recent financial statements has prevented it from being current in its reporting obligations. [read post]
18 Aug 2015, 8:52 am
By Matthew Garza, J.D.An investment adviser that managed a Bermuda-based fund failed to convince the Sixth Circuit that the limitations on extra-territorial application of Exchange Act Section 10(b) established by Morrison v. [read post]
1 Oct 2018, 5:00 am
By Matthew Garza, J.D. [read post]
25 Apr 2016, 10:21 am
By Matthew Garza, J.D.The former chairman of medical equipment maker Home Diagnostics, Inc. continues to command attention from the SEC’s General Counsel through his efforts to have his 2012 insider trading guilty plea vacated. [read post]
26 Nov 2009, 6:29 pm
Jefferson Bray - www.brayforda.com James Angelino - www.angelino4da.com Rafael de la Garza - www.delagarzaforda.com COURT CLERKS Collin County District Clerk Terrye Evans - www.electterryeevans.com Alma Hays - www.electalmahays.com Patricia Crigger - www.votecrigger.com COLLIN COUNTY COMMISSIONERS Collin County Judge Keith Self (incumbent) - www.keithself.com John Muns - www.johnmuns.org Commissioner - Precinct 4 Kathy Ward (Incumbent)- www.kathyward.org Duncan Webb -… [read post]
2 Jan 2010, 1:29 pm
JUDICIAL RACES Collin County Court 2 Judge Jerry Lewis - www.judgejerrylewis.com Sharon Ramage - www.ramageforjudge.com County Court 3 Barnett Walker - www.walkerforjudge.com Lance Baxter - www.baxterforjudge.com Stewart Matthews - No site yet County Court 4 Linda Wynn Drain - www.lindawynndrainforjudge.com Dale Rose - www.roseforjudge.org Matthew Goeller - www.mattforjudge.com Dale Rose - www.roseforjudge.com Christi Bryant - www.chrystibryantforjudge.com David Rippel -… [read post]
1 Sep 2013, 6:31 am
The attorneys for Wells were Raymond Garza and Matthew Arthur. [read post]
18 Jun 2015, 4:00 am
By Matthew Garza, J.D.The SEC has issued an order denying a stay of Regulation A+ sought by the state of Montana. [read post]
