Search for: "Securities and Exchange Commission v. Chase"
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10 Feb 2014, 4:16 pm
District Court for the Northern District of Ohio, Eastern Division, the In the Matter of: Perez v. [read post]
15 Jan 2014, 12:11 am
However, as with making a trade in the stock market, for larger currency exchanges, the banks will post two different prices: the bid price and the offer (or ask) price. [read post]
14 Jan 2014, 9:48 am
It also was announced that the Securities and Exchange Commission was deploying predictive coding to its Division of Enforcement staff to search and analyze hundreds of terabytes of ESI. [read post]
17 Dec 2013, 9:42 am
On Tuesday, December 10, five federal regulatory agencies, the Federal Reserve, the Securities and Exchange Commission, the Federal Deposit Insurance Corporation, the Office of the Comptroller and the Commodity Futures Trading Commission, jointly released the long awaited and hotly contested “Final Rules Implementing the Volcker Rule. [read post]
15 Nov 2013, 10:27 am
” A group of former Securities and Exchange Commission members and law professors went even further, saying in an amicus brief that the 1988 decision is “the most powerful engine of civil liability ever established in American law. [read post]
25 Oct 2013, 1:50 am
Although one was beloved and one was reviled, they both were innovators so today I will look at five trends in both Foreign Corrupt Practices Act (FCPA) compliance programs and Department of Justice (DOJ) and Securities and Exchange Commission (SEC) enforcements. [read post]
21 Oct 2013, 10:30 am
In Trezziova v. [read post]
5 Apr 2013, 12:21 pm
Federal Trade Commission v. [read post]
10 Aug 2012, 1:02 pm
" SOX protection applies to the provision of information regarding not just fraud, but also violation of ... any rule or regulation of the Securities and Exchange Commission. [read post]
30 Jul 2012, 4:27 pm
District Court for the Southern District of New York says that the Securities and Exchange Commission is not a doing a good enough job in providing oversight of $55 million in investor education funds and the way that the money is being disbursed. [read post]
26 Mar 2012, 12:11 pm
In Securities and Exchange Commission v. [read post]
10 Dec 2011, 6:20 am
For the facts, see United States v. [read post]
20 Oct 2011, 10:11 pm
Citigroup has consented to pay $285 million to settle a Securities and Exchange Commission complaint accusing the bank of misleading investors in a $1 billion derivatives deal—a collateralized debt obligation called Class V Funding III. [read post]
3 Oct 2011, 5:00 pm
Also during this period, the National Consumer Law Center, an amicus for the borrower/homeowner, discovered that the stipulated “facts” about how Deutsche Bank, the trustee for a securitized pool of loans, got the note were contrary to provisions of the sales and servicing agreement filed with the Securities and Exchange Commission (SEC). [read post]
18 Aug 2011, 3:14 pm
The protection of investors and of the integrity of securities markets was likewise the goal of the 1933 Securities Act and of the 1934 Securities Exchange Act. [read post]
14 Jul 2011, 10:16 pm
Because the Second Circuit held last week that a person can't get around the RICO Amendment by alleging a claim that no private person (and only the Securities and Exchange Commission) can bring -- aiding and abetting securities fraud. [read post]
10 Jul 2011, 2:02 pm
Winston Gibson v Public Service Commission; Ranjan Rampersad v Commissioner of Police and Police Service Commission; Robert Ramsahai v Teaching Service Commission; Ashford Sankar & Others v Public Service Commission; Gopichand Ganga and Others v Commissioner of Police and Others; and Hermia Tyson-Cuffie v Public Service Commission (Trinidad and Tobago), heard 17 – 19 May 2011. [read post]
26 Jun 2011, 7:10 am
So let’s cut to the chase: at trial, the plaintiffs won against some defendants, lost against others, and then discovered an expert report commissioned about the contamination which could have buttressed their claims against the winning defendants. [read post]
10 Jun 2011, 1:32 pm
So, as the securities litigation bar awaits the Court’s decision in Janus Capital v. [read post]
28 Mar 2011, 7:02 pm
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
