Search for: "US Securities and Exchange Commission v. Smith"
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8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
9 Sep 2008, 6:00 pm
") SECURITIES AND EXCHANGE COMMISSION v. [read post]
2 Feb 2007, 5:04 am
The Securities and Exchange Commission wants the court to order disgorgement plus prejudgment interest, injunctive relief, and civil penalties. [read post]
20 Apr 2012, 9:28 pm
’s Quarterly Corporate Fraud Index, the Securities and Exchange Commission's new whistleblower bounty program may be indirectly leading to a resurgence in corporate internal reporting mechanisms. [read post]
3 Feb 2008, 10:42 pm
A letter from shareholders to the Honorable Christopher Cox, requesting a return to the pre-1990 interpretation of the Rule, stressed an important distinction: ". . . between using a shareholder resolution as a back-door device to contest a specific election and using a shareholder resolution in order to change the rules for election so as to further the long-term interests of shareholders. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
8 Mar 2022, 5:00 am
Supreme Court’s statement in Reiter v. [read post]
23 Nov 2018, 6:07 am
Smith, and Kellie C. [read post]
25 Jan 2018, 6:53 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
19 Sep 2018, 12:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
27 Nov 2014, 12:00 am
[xxxv] The price volatility of Bitcoin means it is not very useful as a medium of exchange, which is the role of currency. [read post]
19 Oct 2021, 6:54 am
" This requirement was given a broad reading by the Court in 2006 in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
27 Oct 2012, 7:44 am
Underhill in Kramer v. [read post]
11 Feb 2019, 12:15 pm
While the dosage was kept confidential, the agreements were reported to the Securities and Exchange Commission. [read post]
28 Sep 2020, 1:26 pm
Ness [1] Securities and Exchange Commission. (2020, September 23). [read post]
16 Jul 2019, 9:04 am
Based on a complaint brought also in 2016 by the US Securities and Exchange Commission (SEC), Aequitas is accused of misleading investors about the extent their money became involved in for-profit education company Corinthian Colleges, which filed for bankruptcy in 2015. [read post]
22 Feb 2018, 4:12 am
Somers, the court ruled unanimously that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
