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21 Jul 2024, 8:23 pm
Liddle, a former registered investment adviser and control person of Prosper Wealth Management in Wausau, was barred by the Financial Industry Regulatory Authority (FINRA), the US Securities and Exchange Commission (SEC), and the Wisconsin Department of Financial Institutions Division of Securities. [read post]
20 Jul 2024, 6:30 am
On June 27, 2024, the Supreme Court ruled in SEC v. [read post]
20 Jul 2024, 6:30 am
On June 27, 2024, the Supreme Court ruled in SEC v. [read post]
19 Jul 2024, 10:11 am
The Securities and Exchange Commission’s Division of Enforcement this month launched the Interagency Securities Council (ISC), which invites federal, state, and local regulatory and law enforcement professionals to meet quarterly to discuss the latest in…Read the Full Press Release Have a securities law question? [read post]
19 Jul 2024, 6:48 am
He also represents whistleblowers in major claims under the SEC, CFTC and FINCEN whistleblower programs and can be reached at Jeff@JeffNewmanLaw.com or at 617-823-3217 The post Alabama man pleads guilty to violating Iran sanctions for selling US equipment to Iran appeared first on Jeff Newman Law. [read post]
19 Jul 2024, 6:31 am
This is the latest salvo by the SEC in its response to allegedly fraudulent AI disclosures. [read post]
19 Jul 2024, 6:31 am
This is the latest salvo by the SEC in its response to allegedly fraudulent AI disclosures. [read post]
19 Jul 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, July 19, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 12-18, 2024 The Supreme Court’s Business Docket: October Term 2023 in Review Posted by John Savarese, Kevin Schwartz and Noah Yavitz, Wachtell, Lipton, Rosen & Katz, on Friday, July 12, 2024 Tags: Chevron, Loper Bright, Murray, SEC, Supreme Court, Wachtell Lipton The… [read post]
19 Jul 2024, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, July 19, 2024 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 12-18, 2024 The Supreme Court’s Business Docket: October Term 2023 in Review Posted by John Savarese, Kevin Schwartz and Noah Yavitz, Wachtell, Lipton, Rosen & Katz, on Friday, July 12, 2024 Tags: Chevron, Loper Bright, Murray, SEC, Supreme Court, Wachtell Lipton The… [read post]
19 Jul 2024, 6:23 am
In some cases, the Securities & Exchange Commission (SEC) may also criminally charge a broker who engages in misconduct. [read post]
19 Jul 2024, 5:00 am
Schedule A Defendants Judge Hammers SEC for Lying to Get an Ex Parte TRO–SEC v. [read post]
19 Jul 2024, 4:50 am
Many talented executives from very high profile companies lost their jobs and were implicated personally in SEC actions. [read post]
19 Jul 2024, 4:47 am
The SEC declined to comment on Judge Engelmayer’s decision. [read post]
18 Jul 2024, 9:05 pm
In her letter to the SEC chairman, she says she has “deep concern” about JBS. [read post]
18 Jul 2024, 9:05 pm
Of course, Delaware courts are not bound by the SEC’s conclusions here. [read post]
18 Jul 2024, 9:05 pm
To curb investor confusion, the SEC amended the Investment Company Act, to require mutual funds to invest at least 80 percent of their assets “in accordance with the investment focus the fund’s name suggests. [read post]
18 Jul 2024, 2:22 pm
The Supreme Court’s recent decision in SEC v. [read post]
18 Jul 2024, 1:45 pm
Sec'y of State's Off., 841 F.3d 791, 794 (9th Cir. 2016) (O'Scannlain, J., dissenting from the grant of rehearing en banc); United States v. [read post]
18 Jul 2024, 11:25 am
Chase jointly have experienced SEC whistleblower lawyers, including a former SEC Enforcement attorney on the team. [read post]
18 Jul 2024, 11:08 am
Second, in SEC v. [read post]
