Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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30 Aug 2016, 12:00 am
In an investor alert and bulletin dated July 18, 2016, the United States Securities and Exchange Commission Office of Investor Education and Advocacy noted the following red flags to help senior investors identify possible fraudulent schemes which have been targeting seniors. [read post]
21 Jun 2018, 5:28 am
Securities and Exchange Commission, South Dakota v. [read post]
27 Apr 2018, 2:29 pm
Securities and Exchange Commission Pereira v. [read post]
10 Mar 2016, 9:00 am
On December 3, 2014, the Securities and Exchange Commission (SEC) instituted administrative proceedings against Assisted Living Concepts Inc. [read post]
31 Aug 2016, 10:00 am
.; Law Clerk, The Health Law Firm On August 16, 2016, Health Net Inc. agreed to pay a $340,000 penalty to the United States Securities and Exchange Commission (SEC) for allegedly using severance agreements to restrict the rights of whistleblowers. [read post]
31 Aug 2016, 10:00 am
.; Law Clerk, The Health Law Firm On August 16, 2016, Health Net Inc. agreed to pay a $340,000 penalty to the United States Securities and Exchange Commission (SEC) for allegedly using severance agreements to restrict the rights of whistleblowers. [read post]
10 Mar 2016, 9:00 am
On December 3, 2014, the Securities and Exchange Commission (SEC) instituted administrative proceedings against Assisted Living Concepts Inc. [read post]
10 Mar 2016, 9:00 am
On December 3, 2014, the Securities and Exchange Commission (SEC) instituted administrative proceedings against Assisted Living Concepts Inc. [read post]
23 Sep 2013, 12:50 pm
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. [read post]
5 Oct 2009, 9:00 am
., a leading provider of clinical development services to innovative pharmaceutical, biotechnology, generic drug and medical device companies, today announced that the United States Securities and Exchange Commission (SEC) has notified the Company that it has completed a two and half year investigation of the Company related to revenue recognition, earnings, company operations and related party transactions and does not intend to recommend any enforcement… [read post]
21 Feb 2019, 8:40 am
A division of the United States Securities and Exchange Commission (“SEC”) has issued a no-action letter stating a New Jersey-based company, Johnson & Johnson, may omit a shareholder’s proposal to require mandatory arbitration of shareholder claims and prohibit class arbitration without becoming subject to an Agency enforcement action. [read post]
15 Nov 2013, 7:00 am
In a release, FINRA explained that “alt” mutual funds are United States Securities and Exchange Commission-registered and publicly offered, and hold “more non-traditional in-vestments and employ more complex trading strategies than traditional mutual funds. [read post]
28 Feb 2020, 4:00 am
Blazer settled a civil complaint against him from the Securities and Exchange Commission for $1.8M. [read post]
20 Mar 2007, 8:32 am
To settle administrative charges made by the Securities and Exchange Commission, Banc of America Securities LLC has agreed to paying $26 million in penalties and disgorgement. [read post]
9 Apr 2015, 5:45 am
Investment advisers are required to include this statement on their Form ADV: The information in this Brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. [read post]
15 Jun 2012, 10:04 am
Although individuals have always been able to report securities fraud to the United States Securities and Exchange Commission (SEC), only recently has the SEC provided a financial incentive for individuals to come forward and do so. [read post]
22 Jun 2012, 12:03 am
The Securities and Exchange Commission filed a civil action on June 9, 2012, against Lighthouse Financial Partners LLC and Benjamin Daniel DeHaan in the United States District Court for the Northern District of Georgia. [read post]
1 Jun 2021, 12:44 pm
Securities and Exchange Commission (SEC), as a Senior Counsel for the SEC’s Division of Enforcement, and as a private attorney handling white collar matters nationwide.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a well-known, national securities lawyer [read post]
2 Jun 2016, 10:03 am
When it comes to convicted securities fraud felons, the BrokeAndBroker.com Blog has reported about many such felons who persist in doing whatever it takes to remain in the securities industry despite the efforts of the Securities and Exchange Commission (or in spite of such efforts or the lack thereof). [read post]
15 Apr 2015, 4:10 am
In a parallel action, the Securities and Exchange Commission filed a civil Complaint. [read post]
