Search for: "SEC v. Current Financial Services, Inc."
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24 Oct 2019, 2:40 pm
Telegram Group, Inc. and Ton Issuer Inc. which sought a temporary restraining order (TRO), the SEC has reached yet another crypto-related milestone. [read post]
1 Feb 2010, 6:36 am
The development of cooperators has the potential to advance significantly SEC investigations. [read post]
3 Apr 2024, 9:01 pm
And as another example, just last month, the SEC charged 17 individuals for their role in an alleged crypto Ponzi scheme that raised $300 million from more than 40,000 investors, primarily from the Latino community.[14] Several defendants allegedly solicited investors with promises of financial freedom and “risk free” crypto and foreign exchange investments.[15] As alleged in our complaint, in true Ponzi fashion, most of the funds raised were not used for any… [read post]
18 Mar 2022, 9:04 am
Texas Indus., Inc. v. [read post]
26 Jul 2023, 9:01 pm
First, the Commission rejects financial materiality as the touchstone for its disclosures,[4] and fails to offer in its place a meaningful intelligible limit to its disclosure authority.[5] The release explains that Congress gave “the Commission, which regulates dynamic aspects of a market economy,” “intentionally broad” authority to require disclosures on a wide range of matters, even ones that do “not directly relate to a company’s value and… [read post]
22 Jul 2020, 3:07 pm
Since the inception of the SEC whistleblower program, whistleblower tips have enabled the SEC to recover more than $2.5 billion in financial remedies, including more than $1.4 billion in disgorgement and prejudgment interest, of which almost $750 million has been returned or is scheduled to be returned to harmed investors. [read post]
16 Jul 2012, 11:49 am
See Shearson/American Express, Inc. v. [read post]
16 Jul 2012, 11:49 am
See Shearson/American Express, Inc. v. [read post]
17 Sep 2007, 1:25 am
Ann's Realty Corp.NASSAU COUNTYReal PropertyDefendant Provides No Basis to Vacate Foreclosure Sale; No Right of Redemption Permitted After SaleHomecomings Financial Network Inc. v. [read post]
16 Jun 2016, 2:48 pm
Galen Marsh. 30-year old Galen Marsh joined Morgan Stanley in 2008 as a sales assistant, later becoming a customer service associate and then in 2014 a financial advisor. [read post]
1 Feb 2023, 9:01 pm
The current logic for that exemption, more or less, is that if investors are accredited, there is no need for any baseline regulatory disclosure obligations. [read post]
23 Jan 2023, 9:01 pm
The SEC estimates that retail brokers currently route more than 90% of marketable orders (orders priced such that they might execute immediately) from individual investors to a small group of off-exchange wholesalers. [read post]
15 Mar 2011, 12:04 pm
Rajaratnam, founder and manager of the hedge fund Galleon Management, is at the center of a sweeping insider trading investigation and currently is facing civil and criminal charges. [read post]
24 Jan 2019, 2:36 pm
For instance, in SEC v. [read post]
24 Sep 2010, 7:00 am
Diebold, Inc., Civil Action No. 1:10-CV-00908 (D.D.C.); SEC v. [read post]
24 Oct 2012, 11:49 am
See also Basic, Inc. v. [read post]
24 Oct 2018, 4:33 pm
The prohibition on unlawful insider trading levels the playing field and protects the integrity of financial markets. [read post]
22 Mar 2018, 4:31 pm
Supreme Court’s February 21, 2018 decision in the Digital Realty Trust, Inc. v. [read post]
5 Mar 2020, 1:49 pm
However, the SEC’s Seagal case does offer a few important reminders concerning the SEC’s current cryptocurrency posture. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
