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20 Sep 2018, 7:21 am
They also have not implemented common standards for security, internal controls, market surveillance protocols, disclosures, or other investor and consumer protections.As a result, customers of virtual asset trading platforms face significant risks. [read post]
9 Dec 2013, 12:08 am
Another thing that interests me about these examples is the international element of several of the claims. [read post]
17 Feb 2009, 2:47 pm
News release: "he Securities and Exchange Commission today charged Robert Allen Stanford and three of his companies for orchestrating a... [read post]
21 Oct 2009, 2:12 pm
Securities and Exchange Commission and the Office of the Superintendent of Financial Institutions (Canada), issued a report today (October 21) titled "Risk Management Lessons from the Global Banking Crisis of 2008". [read post]
5 Feb 2018, 12:00 am
Based on VEON’s admitted bribery in Uzbekistan, Plaintiffs allege violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934. [read post]
14 Apr 2010, 5:13 am
Gammon Gold, Inc., serve as a wake-up call for Canadian companies that trade on any Canadian or U.S. stock exchange. [read post]
14 Apr 2010, 5:13 am
Gammon Gold, Inc., serve as a wake-up call for Canadian companies that trade on any Canadian or U.S. stock exchange. [read post]
4 Jun 2012, 11:57 am
On June 13, 2011, the Securities and Exchange Commission (SEC) published final rules that established a whistleblower program to provide financial rewards to individuals who, alone or with others, provide information regarding possible violations of securities laws to the SEC. [read post]
8 Nov 2013, 2:12 pm
Don’t miss, in particular, Jack’s exchange with Spencer Ackerman. [read post]
9 Nov 2015, 2:58 am
Judge Lefkow granted in part Chicago Board Options Exchange’s (“CBOE”) § 285 motion for attorney’s fees after International Securities Exchange (“ISE”) stipulated to CBOE’s noninfringement, the Court entered final judgment and the Federal Circuit affirmed the judgment in this patent dispute regarding an automated exchange for trading securities. [read post]
4 Mar 2020, 12:16 pm
The case involves the scope of relief in enforcement actions that the Securities and Exchange Commission brings in federal court (as opposed to its internal administrative proceedings). [read post]
14 Jan 2010, 9:00 pm
Taxpayers should not engage in the exchange approach where the taxpayer has little taxable income. [read post]
29 Mar 2021, 10:28 am
The Securities and Exchange Commission (“SEC”) announced an award of over $500,000 to a whistleblower who provided information and assistance that helped shut down an ongoing fraudulent scheme. [read post]
18 Feb 2021, 5:14 am
Morgan Stanley, RBC team tangle over $600M of client assets and advisor prenup (Financial Planning by Andrew Welsch)Rowing on the SEC's Whistleblower River of Denial (BrokeAndBroker.com Blog)Fraudster Sentenced to Five Years in Prison for $2 Million Ponzi Scheme (DOJ Release)Orlando Man Sentenced To More Than Four Years For Multi-Million Dollar Investment Fraud Scheme (DOJ Release)Ghanian Fraudster Sentenced to Nine Years in Federal Prison for a $1.4 Million Bank and Wire Fraud Conspiracy and a… [read post]
4 Jul 2022, 7:46 pm
Securities and Exchange Commission, Respondent (Opinion, DC Cir)Oppenheimer Customer Wins Over $200,000 in FINRA Arbitration for Something Involving SomethingIn the Matter of the Arbitration Between Gerald A. [read post]
27 Dec 2019, 6:48 am
as featured in today's Securities Industry Commentator:Swiss Asset Management Firm And Its Owner Charged In Manhattan Federal Court For Orchestrating Stock Manipulation Scheme / Danish National Who Participated in the Scheme Is Also Charged (DOJ Release)SEC Charges Six Individuals in International Microcap Fraud Schemes (SEC Release)Alleged Dark Web Narcotics Trafficker Indicted for Distributing Heroin and Methamphetamine in Exchange for Bitcoin / Offered Free… [read post]
16 Apr 2010, 11:09 am
In late January, 2010, by a 3 to 2 vote of the Commissioners, the Securities and Exchange Commission (SEC) adopted an interpretive release regarding reporting public company disclosure requirements arising from business or legal developments related to climate change. [read post]
3 Feb 2009, 8:42 pm
The Securities and Exchange Commission under prevoius Chair, Chris Cox, spent considerable resources in a quixotic plan to switch the US from its own accounting standards to international ones. [read post]
15 Feb 2022, 9:48 am
Securities and Exchange Commission). [read post]
15 Nov 2012, 3:15 pm
On November 14, 2012, the US Department of Justice (DOJ) and the Securities & Exchange Commission (SEC) issued a 130-page document which is the most comprehensive effort by these agencies to provide long-awaited guidance to respond to complaints from companies that have complained about the ambiguity of the Foreign Corrupt Practices Act (FCPA). [read post]
