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30 Jul 2010, 3:14 am
The test applied by the district court and the Second Circuit, which grew out of Second Circuit precedent dating back to 1968, focused on whether misconduct by a foreign issuer either (1) had some effect on the US securities markets or investors or (2) significantly occurred in the United States. [read post]
22 Feb 2017, 10:48 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%. [read post]
22 Feb 2017, 12:09 pm
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%. [read post]
11 Feb 2009, 4:45 am
Seriously, Web 2.0/3.0 just does not get people excited anymore. [read post]
24 May 2017, 9:51 am
These Reg D private placements are then typically sold by brokerage firms in exchange for a large up front commission, usually between 7-10%. [read post]
6 May 2016, 9:08 am
It is either a misdemeanor or felony, punishable by up to three years imprisonment/$1 million fine or five years imprisonment/$10 million fine. [read post]
2 Apr 2012, 5:00 am
Under Section 12(g), companies are subject to the securities laws (including the periodic reporting requirements) whenever they have more than $10 million in assets and, after the JOBS Act, 2000 shareholders of record (or 500 unaccredited investors). [read post]
16 Mar 2014, 2:23 pm
Issuers can “test the waters”[1] with potential investors before filing the offering statement. [read post]
16 Mar 2014, 2:23 pm
Issuers can “test the waters”[1] with potential investors before filing the offering statement. [read post]
17 Jun 2018, 12:00 am
The complaint alleged violations of Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 (the “Act”). [read post]
31 May 2016, 1:19 pm
The complaint does not allege that the Just Hope Foundation participated in the wrongdoing. [read post]
12 Jul 2010, 7:18 am
So, with that, here is what I think is going on. 1) China’s market is maturing, its tastes are changing, and it does not need to accept anything and everything. [read post]
18 Oct 2021, 1:18 pm
” The SEC Whistleblower Program has already issued a number of awards since the 2022 fiscal year began on October 1, 2021. [read post]
16 Nov 2015, 9:11 pm
Under the Dodd-Frank Wall Street Reform and Consumer Protection Act, if the SEC issues a sanction greater than $1 million as a result of a whistleblower’s tip, the whistleblower can receive between 10 and 30 percent of the sanction amount. [read post]
21 Jul 2009, 8:11 am
So when the court date was over on 10/10/08, they told me they would not get the money from my investors until 2010. [read post]
4 Apr 2012, 5:00 am
That does not reflect a change. [read post]
19 Mar 2010, 7:00 am
If we use an equity market analogy, when Citigroup stock hit $1 per share, if an investor was only willing to pay 95 cents and decided not to purchase because they thought the stock would fall farther, would that investor really care if they had purchased at a $1 with today's price of $3.92? [read post]
29 Jun 2017, 6:25 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
29 Jun 2017, 6:25 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
25 Jul 2024, 11:09 am
Fortunately, FINRA does provide for an arbitration forum for investors to resolve such disputes. [read post]
