Search for: "SEC v. Scott"
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28 Nov 2014, 9:56 am
: 3-15544Case filed: September 30, 2013Qualifying Judgment/Order: October 2, 2014 11/26/2014 02/24/2015 2014-134 SEC v. [read post]
11 Aug 2016, 4:02 am
Lucia Cos. v. [read post]
9 Feb 2024, 7:29 am
The case is Trevor Murray v. [read post]
14 Apr 2015, 4:50 pm
’s fee credit refunds were issued around the same time as the SEC’s commencement of enforcement proceedings against Clean Energy Capital (CEC) and its main portfolio manager, Scott Brittenham (Brittenham) in February 2014. [read post]
7 Apr 2015, 2:13 pm
See, Scott James Preston, Whistleblowing in Intercollegate Athletics, University Business, March 28, 2012, (discussing Glenn Hedden v. [read post]
8 Dec 2007, 9:38 pm
Scott Goodman U.S. [read post]
16 Jun 2022, 9:05 pm
Our bipartisan Working Group is comprised of leading academics, former Commission officials, and market participants who have studied and overseen development of SEC rules for decades, including: Fifteen former senior SEC officials, including four SEC Chairs, five SEC Commissioners, five SEC General Counsel, and four Directors of the SEC’s Division of Corporation Finance; Seventeen senior scholars of corporate, securities and administrative… [read post]
24 Jun 2017, 9:12 am
Bennett was a financial advisor in major trouble with the SEC. [read post]
16 Jun 2016, 2:48 pm
Cybersecurity at SEC-registered entities like Morgan Stanley has become a top priority for the SEC inspections group and enforcement division. [read post]
20 Jan 2016, 5:21 am
ACTION NOTICE DATE CLAIM DUE DATE 2015-148 SEC v. [read post]
4 Apr 2025, 6:30 am
Cheffins (University of Cambridge) and Bobby V. [read post]
4 Apr 2025, 6:30 am
Cheffins (University of Cambridge) and Bobby V. [read post]
26 Jan 2010, 8:58 pm
Related Web Resources: Gann v. [read post]
3 Sep 2020, 4:05 am
[Thanks to Scott Mange for the lead.] [read post]
16 Dec 2022, 6:30 am
Borak, Lee v. [read post]
16 Dec 2022, 6:30 am
Borak, Lee v. [read post]
25 Aug 2017, 6:35 am
The group recommended the Supreme Court’s definition of materiality outlined in TSC Industries, Inc. v. [read post]
4 Sep 2012, 11:58 am
(Judge Klein's lengthy opinion, Assoc. of Retired Employees, et al. v. [read post]
3 Feb 2023, 6:30 am
Haan (Washington and Lee University School of Law), on Tuesday, January 31, 2023 Tags: Corporate governance, political economy, Proxy voting, Shelby County v. [read post]
3 Feb 2023, 6:30 am
Haan (Washington and Lee University School of Law), on Tuesday, January 31, 2023 Tags: Corporate governance, political economy, Proxy voting, Shelby County v. [read post]
