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22 Jan 2018, 4:33 am
SEC Charges Transfer Agent and Its Principal with Fraud for Misappropriating Client Funds (SEC Litigation Release No. 24033) https://www.sec.gov/litigation/litreleases/2018/lr24033.htm In Securities and Exchange Commission v. [read post]
22 Dec 2017, 8:44 am
Court Holds Registered Investment Adviser and Its Principal in Contempt for Failing to Comply with a Court Order Enforcing an SEC Investigative Subpoena (SEC Litigation Release 24021)https://www.sec.gov/litigation/litreleases/2017/lr24021.htm The SEC obtained a Contempt Order https://www.sec.gov/litigation/complaints/2017/lr24021-contempt-order.pdfin Securities and Exchange Commission v. [read post]
27 Jan 2018, 11:39 am
SEC Charges Two Boston-Based Investment Advisers with Fraud (SEC Litigation Release No. 24037) https://www.sec.gov/litigation/litreleases/2018/lr24037.htm In Securities and Exchange Commission v. [read post]
12 Feb 2018, 3:21 am
Baton Rouge-Based Investment Adviser To Be Barred and Firm Registration To Be Revoked For Hiding Losses From Investors (SEC Litigation Release 24050)https://www.sec.gov/litigation/litreleases/2018/lr24050.htmIn Securities and Exchange Commission v. [read post]
27 Jun 2020, 2:54 am
United States Securities and Exchange Commission and Walter Clayton, Respondents (Opinion, 2Cir)SEC Charges BNP Paribas with Violations of Regulation SHO (SEC Release)SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers (SEC Release)... [read post]
27 Nov 2017, 4:28 am
SEC: Ramapo, RLDC Consent to Court-Appointed Independent Consultant Among Other Undertakings (SEC Litigation Release 23997)https://www.sec.gov/litigation/litreleases/2017/lr23997.htm Pursuant to a Consent Judgment in Securities and Exchange Commission v. [read post]
29 Jun 2020, 11:20 am
June 22, 2020), the United States Supreme Court upheld the authority of the Securities and Exchange Commission (“SEC”) to seek disgorgement as an equitable remedy under 15 U.S.C. [read post]
9 Aug 2013, 5:00 am
At the core of that interest is a look at whether the Securities and Exchange Commission has jurisdiction. [read post]
16 Jul 2013, 7:03 am
Securities and Exchange Commission. [read post]
23 Jun 2018, 6:33 pm
The law offices of Gana Weinstein LLP are investigating the Securities and Exchange Commission’s (SEC) charges and asset freeze against several individuals and companies behind what the agency calls a $102 million Ponzi scheme that defrauded investors throughout the country. [read post]
3 Jan 2013, 11:12 am
It is being reported that the Securities and Exchange Commission asset management unit recently cautioned hedge funds of the problems with the increasing move towards operating more like a mutual fund. [read post]
16 Oct 2009, 5:00 am
Katz, Secretary (1986-2006), United States Securites and Exchange Commission Edward S. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
15 Sep 2015, 9:02 am
In rejecting the Respondent’s arguments, the Commission relied on the decision of the United States Court of Appeals for the D.C. [read post]
6 May 2021, 6:00 am
Congratulations on your appointment to serve as Chairman of the Securities and Exchange Commission (SEC). [read post]
31 Oct 2023, 11:41 am
The Securities and Exchange Commission has charged charges against Austin, Texas-based software company SolarWinds Corporation and its chief information security officer, Timothy G. [read post]
2 Jan 2014, 9:15 am
RBS Securities Inc.Case number: 13-cv-01643 (United States District Court for the District of Connecticut)Case filed: November 7, 2013Qualifying judgment/order: November 25, 2013 12/20/2013 03/20/2014 2013-115 SEC v. [read post]
22 Apr 2013, 1:46 pm
A group of investors sued the Security and Exchanges Commission for failing to supervise Madoff and investigate complaints it received before the Madoff scandal unfolded. [read post]
17 May 2017, 8:58 am
And So It Goes" (BrokeAndBroker.com Blog, January 16, 2017).In"BREAKING NEWS: Federal Appeals Court Says Securities and Exchange Commission ALJs Unconstitutional" (BrokeAndBroker.com Blog, December 28, 2016), we considered Article II, Section 2, Clause 2 of the United States Constitution (the "Appointments Clause"), which states:[The President] shall nominate, and by and with the Advice and Consent of the Senate, shall… [read post]
10 Oct 2022, 8:00 am
Even a well-trusted investment advisor can take advantage of their client relationships, as illustrated by a recent lawsuit brought by the United States Securities and Exchange Commission (“SEC”). [read post]
