Search for: "Securities and Exchange Commission v. Smith"
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10 May 2012, 2:39 pm
Speaking before the Private Equity International Private Fund Compliance Forum, Securities and Exchange Commission Office of Compliance Inspections and Examinations Director Carlo di Florio reminded the audience that investment advisers are fiduciaries to advisory clients, including client funds. [read post]
10 Feb 2011, 6:50 am
The case is Berghorse v. [read post]
25 Jan 2018, 6:53 am
In Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
12 Mar 2009, 7:22 am
Continuing this exchange, Ms. [read post]
19 Sep 2018, 12:00 am
(See Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
9 Sep 2008, 6:00 pm
") SECURITIES AND EXCHANGE COMMISSION v. [read post]
19 Oct 2021, 6:54 am
" This requirement was given a broad reading by the Court in 2006 in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
9 Jan 2007, 11:01 pm
Securities and Exchange Commission $15 million to settle claims that email mishandling had taken place. [read post]
16 Apr 2010, 5:00 am
Securities & Exchange Commission, 390 F.3d 292 (7th Cir. 2004). [read post]
30 Sep 2008, 9:41 pm
Lynch's conclusion that the Grubmans of the world don't deserve more protection than securities issuers from claims under Securities and Exchange Commission Rule 10b-5 and section 10(b) of the Securities Exchange Act of 1934. [read post]
11 Feb 2019, 12:15 pm
While the dosage was kept confidential, the agreements were reported to the Securities and Exchange Commission. [read post]
28 Sep 2020, 1:26 pm
Ness [1] Securities and Exchange Commission. (2020, September 23). [read post]
27 Nov 2014, 12:00 am
[xxxviii] Since Bitcoin has gained so much traction from people investing in bitcoins as capital assets, it seems fitting that the Securities and Exchange Commission (“SEC”) regulate it, as the SEC’s mission is to monitor the capital markets to ensure investors are operating in a fair and efficient marketplace. [read post]
10 May 2024, 9:31 pm
Securities and Exchange Commission, 585 U.S. __ (2018) holds that only officers of the United States can take actions that affect the life, liberty, and property of citizens. [read post]
22 Feb 2018, 4:12 am
Somers, the court ruled unanimously that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission. [read post]
3 Apr 2024, 9:01 pm
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
16 Jul 2019, 9:04 am
Based on a complaint brought also in 2016 by the US Securities and Exchange Commission (SEC), Aequitas is accused of misleading investors about the extent their money became involved in for-profit education company Corinthian Colleges, which filed for bankruptcy in 2015. [read post]
21 Dec 2022, 6:03 am
Tina Smith (D-Minn) and Rep. [read post]
23 Apr 2018, 1:20 am
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
17 Nov 2023, 10:53 am
Smith v. [read post]
