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19 Jul 2022, 6:33 am by John Jascob
Smith & Wesson, Inc., July 13, 2022, Lynch, S.).SOX Section 1514A is the whistleblower protection provision, which limits protection to whistleblower claims about “a violation of section 1341, 1343, 1344, or 1348, any rule or regulation of the Securities and Exchange Commission, or any provision of Federal law relating to fraud against shareholders. [read post]
10 Feb 2012, 8:22 am
Arch Insurance Company recently commenced a lawsuit in federal court in Chicago, seeking a declaration that it is not obligated to defend or indemnify Michaels Stores, Inc. for its losses in various litigation arising from the use of PIN pad terminals in its stores. [read post]
14 Sep 2022, 12:32 pm by Staff Attorney
From July 2014 through September 2016, Lippmann was registered with Dawson James Securities, Inc. [read post]
21 Aug 2023, 3:39 am by Unknown
The rule requires transfer agents to then exercise "reasonable care" to ascertain the securityholder's address, meaning conducting two database searches by taxpayer identification number (used interchangeably with social security number in that order) or by name if the ID number is not reasonably likely to work. [read post]
16 Mar 2020, 11:06 am by Jane Chong
Computer Emergency Readiness Team (US-CERT) alerted it to a critical security vulnerability in open-source software used in Java web applications. [read post]
28 Feb 2012, 6:00 am
  Although 5.6 and 2-108 use language that might suggest that they only apply to agreements between lawyers (i.e., law firms), the ABA has concluded that they should be applied to in-house counsel as well. [read post]
27 Aug 2010, 4:38 pm by Daisy Khambatta
   In the event of a global cyber attack, a minimum of five of the seven key holders are to converge at a secure location in the U.S., then use their keys to combine into a single root key which will ‘restart the world wide web. [read post]
8 Mar 2016, 12:13 pm by Mark Astarita
Conway.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
8 Feb 2019, 10:24 am by Lev Sugarman
Email the Roundup Team noteworthy law and security-related articles to include, and follow us on Twitter and Facebook for additional commentary on these issues. [read post]
19 Oct 2021, 6:54 am by John Jascob
" This requirement was given a broad reading by the Court in 2006 in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
9 Oct 2023, 9:01 pm by renholding
Under Sections 13(d) and 13(g)[2] of the Exchange Act, Schedules 13D and 13G are reports that beneficial owners of more than 5% of a registered class of a company’s voting equity securities must use to report their holdings and intentions with respect to the company. [read post]