Search for: "Securities and Exchange Commission v. James"
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19 Jul 2021, 7:17 am
Invoking the shareholder proposal rule adopted a few years before by the Securities and Exchange Commission (SEC), Peck and Rustin insisted that as shareholders they had a right to voice their opinions about Greyhound’s segregation policies and to poll other shareholders on the issue. [read post]
18 Dec 2010, 9:00 pm
However, James Hardie lost its own appeal (see separate judgment James Hardie Industries NV v Australian Securities and Investments Commission [2010] NSWCA 332), when the Court upheld a ruling that the company made misleading statements to the Australian Securities Exchange (ASX) in 2002 about its ability to “meet all asbestos claims and as to remaining asbestos claims”. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
12 Nov 2009, 5:00 am
Tambone, the case against James R. [read post]
1 Jun 2022, 9:40 am
Securities and Exchange Commission, Case No. 3-15255, a panel of the U.S. [read post]
8 May 2012, 9:13 pm
Circuit Court of Appeals has revived the US Securities and Exchange Commission’s fraud lawsuit against Morgan Keegan & Co. accusing the financial firm of allegedly misleading investors about auction-rate securities. [read post]
28 Jun 2011, 11:47 am
–based securities laws violations, Section 21 of the Exchange Act provides proper authority for the relief sought by the commission,” she held. [read post]
21 Mar 2017, 3:59 pm
Last week, the United States Securities and Exchange Commission filed a petition for rehearing en banc with the Tenth Circuit Court of Appeals, imploring the court to reconsider a divided panel’s ruling on the unconstitutionality of its administrative law judges in Bandimere v. [read post]
6 Aug 2021, 6:01 am
The law they cited was only a few years old; in 1942 the Securities and Exchange Commission (SEC) had adopted a new rule, Rule X14a-7 (now 14a-8), the “Shareholder Proposal Rule,” giving a shareholder under some circumstances the power to make proposals to corporate management and requiring companies to send those proposals to all their shareholders in their annual proxy solicitations—at the company’s expense. [read post]
21 Jul 2016, 11:43 am
The Securities and Exchange Commission today announced that Wesley R. [read post]
18 Apr 2009, 5:00 am
In SEC v. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
28 Feb 2013, 11:08 am
The United States Supreme Court adopted a strict interpretation of the five-year period in which the Securities and Exchange Commission may seek to impose a civil penalty on a registered investment adviser. [read post]
17 Aug 2012, 5:28 am
The case is Securities and Exchange Commission v. [read post]
17 May 2013, 10:56 am
Allen Stanford, James M. [read post]
20 Jan 2023, 7:43 am
Securities and Exchange Commission, 34 F. 4th 446 (5thCir. 2022), which ruled on May 18, 2022, in a 2-1 decision, that the U.S. [read post]
9 Feb 2011, 5:00 am
The Securities and Exchange Commission charged a hedge fund and four hedge fund portfolio managers and analysts with illegally traded on confidential information obtained from technology company employees moonlighting as expert network consultants. [read post]
10 Jul 2019, 4:52 am
Hoffman, is now facing fraud charges brought by the US Securities and Exchange Commission (SEC). [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
21 Apr 2010, 12:07 pm
When the Securities and Exchange Commission sued Goldman on Friday, it filed a civil complaint in federal court that, at 22 pages, seemed mighty short compared to most of the complex securities-fraud cases we read each day. [read post]
