Search for: "In Re Securities and Exchange Commission"
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13 Sep 2018, 6:30 am
Among the recent developments that could give would-be investors pause: The U.S Securities and Exchange Commission in May announced that it had secured injunctive relief to halt alleged “ongoing fraud” by an unregistered, non-exempt Initial Coin Offering (ICO) that had raised as much as $21 million in cryptoassets. [read post]
3 Oct 2022, 7:11 am
Securities and Exchange Commission. [read post]
12 Jul 2020, 6:26 pm
In that case, the plaintiff sought to compel the production of documents that the defendant previously produced to the Securities and Exchange Commission (SEC) in connection with an investigation. [read post]
4 Nov 2024, 9:01 pm
Commodity Futures Trading Commission (the “CFTC”) initiated enforcement actions against a carbon credit project developer and two of its executives for violating the antifraud provisions of the Commodity Exchange Act (the “CEA”) and CFTC regulations. [read post]
19 Dec 2014, 6:00 am
If you do decide to exchange dolls, we'd suggest you exchange paperwork confirming the terms of the resolution. [read post]
3 Dec 2019, 6:30 am
The company is also the subject of class action lawsuits and is under investigation by the FBI, FINRA, The Securities and Exchange Commission, the State of Massachusetts, and New York City’s Business Integrity Commission. [read post]
1 Jun 2021, 11:21 am
I served as the general counsel of the resulting “Commission on the Rules and Capabilities of the U.S. [read post]
8 Feb 2024, 9:12 am
Meehan is a skilled Massachusetts workers’ compensation lawyer who is committed to helping injured workers pursue securing the benefits they’re entitled to under the law, and if you hire him, he will advocate zealously on your behalf. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
17 Jan 2023, 2:03 pm
The Securities and Exchange Commission (SEC) obtained judgments against an investment adviser and its CEO for inflating the performance value of the funds. [read post]
19 Apr 2023, 7:08 am
Matthew and I dig into the unanimous Supreme Court decision that should have independent administrative agencies like the Federal Trade Commission and Securities and Exchange Commission trembling. [read post]
29 Apr 2022, 3:00 am
Notably, Musk’s initial filing with the Securities and Exchange Commission categorized his purchase as a passive stake—which immediately raised questions given his public comments about how Twitter is run. [read post]
27 Apr 2007, 7:36 am
I challenge the Securities and Exchange Commission (SEC) to ask the following questions, and I challenge Usana to answer them truthfully: 1. [read post]
7 May 2009, 7:41 pm
Brewer-Hay's spontaneous, informal style.[...]Blogs and tweets can run afoul of Securities and Exchange Commission regulations on corporate communications. [read post]
28 Feb 2012, 2:00 am
Securities and Exchange Commission, on the sidelines of the Practising Law Institute’s annual SEC Speaks conference. [read post]
6 Jan 2020, 1:32 pm
Santillo And Parris Buy Investment Advisers Businesses To Find Victims The Security and Exchange Commission’s complaint against Santillo and Parris says that they found victims by buying the businesses of investment advisers or brokers and convincing some of their customers to put money into the scam. [read post]
5 Jan 2024, 3:30 am
The SEC recently shot down the crypto exchange’s rulemaking petition (despite disagreement from Commissioners Peirce & Uyeda). [read post]
26 Jul 2022, 3:34 am
For their part, a number of centralized U.S. cryptoasset exchanges have explicitly noted that they only list assets that they determine not to be securities. [read post]
10 Feb 2012, 1:25 pm
Also, the embedded pre-payment option associated with mortgage-backed securities creates re-investment risk, which can significantly affect yield. [read post]
13 Oct 2022, 9:00 am
Securities and Exchange Commission (SEC) about Facebook’s conduct. [read post]
