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3 Oct 2009, 10:02 am
The views expressed in this post are those of Commissioner Paredes and do not necessarily reflect those of the Securities and Exchange Commission or the other Commissioners.) [read post]
9 Apr 2010, 12:43 pm
UK Commissioner May Order Fines for Serious Breaches of Data Protection ActThis posting was written by Thomas A. [read post]
10 Mar 2013, 7:35 am
The views expressed in the post are those of Commissioner Gallagher and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
1 Aug 2013, 6:23 am
The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
25 May 2013, 7:35 am
The views expressed in the post are those of Commissioner Aguilar and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
6 Sep 2009, 6:20 am
And thanks again to the panelists for agreeing to share their views with us, and to our respective Chairmen and my fellow Commissioners at the SEC and at the CFTC for agreeing to hold these meetings. [read post]
22 Jun 2015, 8:49 am
In January 2012, the Arkansas Securities Commissioner filed a complaint against the appellees, alleging that they had unlawfully sold unregistered securities without being registered under the Arkansas Securities Act. [read post]
26 Jan 2021, 9:00 am
" Here, however, the Commissioner explained that an intention of a possible candidate to run for Petitioner’s seat in a future election "is inherently speculative and does not secure an actual, existing right in such seat," citing Appeal of Kennelly, 57 Ed Dept Rep, Decision No. 17,137. [read post]
22 Jul 2011, 9:43 am
Commissioner of Social Security, the Eleventh Circuit Court of Appeals upheld a lower court's ruling that an SSDI applicant was not entitled to benefits because he did not earn enough money prior to his disability to be insured. [read post]
11 Feb 2012, 3:00 am
Senator Ben Cardin of Maryland has urged the SSA commissioner to reverse its decision to suspend providing Americans with complete access to their Social Security earnings statements. [read post]
12 Aug 2019, 6:05 am
Privacy and security issues was a prominent part of the discussion starting with the very first full episode featuring a conversation with UK Information Commissioner Elizabeth Denham. [read post]
1 Aug 2021, 10:04 am
At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com Blog)Remarks Before the Aspen Security Forum by SEC Chair Gary GenslerCanadian Citizen Convicted for Pump-and-Dump Securities Fraud Scheme (DOJ Release)FINRA's Restricted Firm Rule: Two SEC Commissioners Toast the Sinking of the Titanic (BrokeAndBroker.com Blog)At FINRA, Boys Will Be Boys But Girls Should Act Like Proper Ladies (BrokeAndBroker.com… [read post]
12 Mar 2021, 11:31 am
SEC Charges Additional Four Unregistered Brokers Who Sold $24 Million in 1 Global Securities to Retail Investors (SEC Release)Birmingham Business Pleads Guilty to Wire Fraud (DOJ Release)Acton Investment Advisor Sentenced for Stealing More Than $3.7 Million of Clients' Funds (DOJ Release)Securities Commissioner Stops Another Online Forex and Cryptocurrency Scam (TSSB Release)FINRA Fines and Suspends Rep for PSTIn the Matter of Tonya Nicole Smoake, Respondent (FINRA… [read post]
29 Oct 2021, 11:44 am
Postponement Request for Illness in FINRA Customer Arbitration Prompts Covid Testing (BrokeAndBroker.com Blog)Risky Whiskey - Securities Commissioner Stops International Investment Scheme (TSSB Release)FINRA Fines and Suspends Rep for Private Securities TransactionsIn the Matter of Brian S. [read post]
23 Oct 2020, 3:31 am
SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions (SEC Release)Statement Regarding Tradenet Capital Markets Ltd by SEC Commissioner Hester M. [read post]
15 May 2020, 4:55 am
SEC Orders Credit Rating Agency to Pay $3.5 Million for Conflicts of Interest Violations (SEC Release)Commissioner Peirce Sounds the Alarm About Feeding the SEC's CAT(BrokeAndBroker.com Blog)Head Of Investment Management Firm Pleads Guilty In Connection With $18 Million Pre-IPO Securities Fraud Scheme / Fred Elm, Who Fled to Canada in 2017 Prior to His Original Plea Date, Was Extradited Back to the U.S. [read post]
31 Oct 2014, 6:58 pm
’s top securities and banking regulator. [read post]
11 Nov 2021, 6:10 am
The views expressed in the post are those of Commissioner Crenshaw, and do not necessarily reflect those of the Securities and Exchange Commission, the other Commissioners, or the Staff. [read post]
11 May 2015, 8:00 am
The Commissioner also alleged that Neilsen raised $10 million through securities sales to at least ten Connecticut investors. [read post]
18 Aug 2021, 9:03 am
New Conditions Added To Compassionate Allowance List New Acting Social Security Commissioner Kilolo Kijakazi recently announced the agency would be adding 12 new conditions to its Compassionate Allowance list for the purposes of Social Security disability claims. [read post]
