Search for: "In Re Securities and Exchange Commission"
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5 Aug 2011, 5:00 am
Is Hurdle to Crisis Cleanup in Dealbook A senior lawyer for the Securities and Exchange Commission recently took center stage in a major case involving a controversial mortgage security sold by Goldman Sachs. [read post]
23 Nov 2009, 7:40 am
The Securities and Exchange Commission (“SEC”) filed civil fraud charges against the company's former chief executive, president, general counsel and controller. [read post]
31 Aug 2020, 3:00 pm
The alignment of activist short-sellers and plaintiff securities class action attorneys is an unintended association that facilitates the increase in frequency of claims that allege violations of the Exchange Act at the expense of directors and officers of U.S. [read post]
28 Jul 2009, 5:01 am
This has been discussed at length in Essay: Corporate Governance, the Securities and Exchange Commission, and the Limits of Disclosure. [read post]
6 Jul 2016, 10:01 am
Nevertheless, this is one area in which the Securities and Exchange Commission does hold sway. [read post]
30 Jun 2016, 10:16 am
The Securities and Exchange Commission (“SEC”) has created a new private fund unit and publicly asserted that it is more closely examining the operations of private equity funds and their portfolio companies. [read post]
11 Jul 2009, 4:17 am
In these circumstances, Securities & Exchange Commission v. [read post]
2 Jun 2014, 5:00 am
On May 29th the Securities and Exchange Commission petitioned the U.S. [read post]
5 Aug 2011, 5:03 am
The defendants were convicted of conspiracy, mail fraud, securities fraud, and false statements made to the Securities and Exchange Commission and were sentenced to prison terms ranging from one to four years. [read post]
24 Jun 2021, 5:56 am
Securities and Exchange Commission. [read post]
16 Nov 2011, 8:22 am
Jenkins and the Staff of the Securities and Exchange Commission have reached a tentative settlement agreement to resolve this matter," noting that "such tentative settlement agreement is subject to approval by the Securities and Exchange Commissioners. [read post]
29 Oct 2013, 8:07 am
However, a study of 75 Securities and Exchange Commission (SEC) cases resulting in $4.8 billion in civil fines from 2002 through 2005 revealed that the SEC distributed only about 1% of the proceeds, or $60 million, in only three of those cases to investors. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
15 Jun 2023, 12:08 pm
The Securities and Exchange Commission (SEC) whistleblower program is considered one of the more successful government initiatives around—especially when it comes to financial institutions and investing. [read post]
21 Aug 2018, 7:49 am
The latest Ponzi was broke up by the Securities and Exchange Commission, which charged five unregistered salespeople in South Florida for unlawfully selling securities in a massive Ponzi Scheme that had swelled to almost $1.2 billion in assets. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
16 Nov 2021, 6:08 am
Its shares are not listed and do not trade on a registered national securities exchange. [read post]
26 Sep 2017, 1:11 pm
The Securities and Exchange Commission today charged a stock market analyst with insider trading prior to the publication of research reports and articles he authored with the false disclaimer that he wasn’t trading in the companies being covered. [read post]
6 Feb 2015, 8:30 am
As reporter Lisa Rein describes the results in the Washington Post, those that did well included Homeland Security (I know; I can’t believe it either), the Social Security Administration, and the Securities and Exchange Commission. [read post]
28 Jun 2012, 9:42 am
The financial firms, professionals, and the securities they sell fall under numerous federal and state regulatory schemes – e.g., the Securities and Exchange Commission (“SEC”), and the Financial Industry Regulatory Authority (“FINRA”). [read post]
