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20 May 2022, 6:30 am
In an important development, on April 28, 2022, the Securities and Exchange Commission (SEC) commenced an action in the United States District Court for the Eastern District of New York in which it asserted that Vale S.A., a publicly-traded Brazilian mining company and one of the world’s largest iron ore producers, knowingly made false and misleading claims about the safety of its dams in the years leading up to the January 2019 Brumadinho disaster.… [read post]
23 Apr 2018, 1:23 pm
Embassy Togo, inspects the seized ivory (2014)News outlets around the United States have picked up and expanded upon an Associated Press story about the whistleblower complaint to the Securities and Exchange Commission (SEC) lodged against Facebook. [read post]
20 May 2022, 6:30 am
In an important development, on April 28, 2022, the Securities and Exchange Commission (SEC) commenced an action in the United States District Court for the Eastern District of New York in which it asserted that Vale S.A., a publicly-traded Brazilian mining company and one of the world’s largest iron ore producers, knowingly made false and misleading claims about the safety of its dams in the years leading up to the January 2019 Brumadinho disaster.… [read post]
3 Jan 2021, 3:49 am
However, for US Securities and Exchange Commission (SEC) registered closed-end investment funds, COVID-19 had the opposite effect. [read post]
30 Mar 2007, 8:00 am
Securities and Exchange Commission filed a complaint on Wednesday against Rex Rogers, the former associate general counsel at Enron, and Jordan Mintz, the former general counsel for Enron's finance group, with civil violations of securities laws because of omitting or fudging regulatory filing disclosures. [read post]
27 Dec 2013, 12:14 pm
According to the Securities and Exchange Commission’s website, the SEC recently announced the issuance of an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order) against Ronald Gene Anglin (Anglin), a resident of Canyon Country, California. [read post]
3 Oct 2011, 4:15 pm
("USCTC") (collectively, "USPT") sold securities from offices located in the State of Florida without registering as a broker-dealer with the Securities and Exchange Commission ("SEC"). [read post]
15 Apr 2014, 11:59 am
On April 9, 2014, the Securities and Exchange Commission announced that Hewlett-Packard had agreed to pay more than $108 million to settle Foreign Corrupt Practices Act actions brought by the SEC and the Department of Justice. [read post]
23 Jun 2024, 9:01 pm
Securities & Exchange Commission, Press Release, SEC Charges R.R. [read post]
9 Mar 2013, 9:32 am
They also are urging Congress to prod the Securities and Exchange Commission to propose regulation that would ban pre-dispute arbitration clauses in brokerage contracts or to pursue legislation that would codify that change. [read post]
20 Oct 2011, 5:00 am
Aug. 25, 2011) (unpublished), the United States District Court, Northern District of California, dismissed a class action securities fraud complaint against Hansen Medical Inc. [read post]
28 Dec 2017, 9:03 am
Morgan Securities $2.8 million for violating the Securities and Exchange Commission’s (SEC) Customer Protection Rule and for related supervisory failures. [read post]
10 Aug 2020, 3:13 pm
The Securities Exchange Commission order can be found at https://www.sec.gov/litigation/admin/2020/33-10801.pdf. [read post]
20 Oct 2010, 8:07 am
The Securities and Exchange Commission (SEC) has issued a press release stating that the SEC has charged Paul T. [read post]
4 Jun 2020, 8:18 am
Financial Advisor Todd Esh, LPL Financial in Shawnee, KS Todd Anthony Esh Reportedly Barred after Allegations of Securities Fraud According to an administrative order, the Securities and Exchange Commission reportedly barred Todd Esh, from working in the securities industry after reportedly filing a civil suit in April 2020 against him and his partner, alleging material misrepresentations and omissions to investors in connection with a securities… [read post]
11 Jan 2018, 7:05 am
Securities and Exchange Commission 17-130 Issue: Whether administrative law judges of the Securities and Exchange Commission are officers of the United States within the meaning of the appointments clause. [read post]
6 Oct 2016, 10:47 am
The Securities and Exchange Commission today announced that it has named David H. [read post]
20 Oct 2011, 12:01 pm
The Securities and Exchange Commission recently filed a complaint in United States District Court in Riverside, California against Copeland Wealth Management, Copeland Realty, and Charles P. [read post]
16 Nov 2010, 4:48 pm
Robert David Watson, under indictment in the Southern District of Texas for allegedly obstructing the Securities and Exchange Commission's (SEC) investigation into his purported trading, has been indicted a second time, United States Attorney José Angel Moreno announced today. [read post]
16 Nov 2010, 4:48 pm
Robert David Watson, under indictment in the Southern District of Texas for allegedly obstructing the Securities and Exchange Commission's (SEC) investigation into his purported trading, has been indicted a second time, United States Attorney José Angel Moreno announced today. [read post]
