Search for: "New York Stock Exchange LLC v. Securities and Exchange Commission"
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11 Feb 2015, 11:31 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
12 Jun 2014, 5:58 am
Administrative Proceeding File No.: 3-15912 Case filed: June 6, 2014 Qualifying judgment/order: June 6, 2014 06/06/2014 09/04/2014 2014-56 In the Matter of New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC f/k/a NYSE Amex LLC, and Archipelago Securities, L.L.C. [read post]
9 Dec 2013, 7:46 pm
Steel Institute of New York v. [read post]
10 Sep 2013, 9:31 am
Ct. 2869 (2010), regarding antifraud provisions of the U.S. securities laws, the Supreme Court held that “Section 10(b) [of the Securities Exchange Act of 1934] reaches the use of a manipulative or deceptive device or contrivance only in connection with the purchase or sale of a security listed on an American stock exchange, and the purchase or sale of any other security in the United States. [read post]
24 May 2013, 10:09 am
§ 78j(b), and Securities & Exchange Commission (“SEC”) Rule 10b-5, 17 C.F.R. [read post]
9 May 2013, 11:43 am
The Securities and Exchange Commission (“SEC”) relies upon the securities exchanges (e.g., the New York Stock Exchange) to enforce Section 15(g). [read post]
9 May 2013, 11:17 am
The Securities and Exchange Commission (“SEC”) relies upon the securities exchanges (e.g., the New York Stock Exchange) to enforce Section 15(g). [read post]
13 Nov 2012, 11:54 am
Superior Court (Monex), 176 Cal.App.4th 1554 (2009);andnbsp;andnbsp; ATandamp;T Mobility LLC v. [read post]
29 Aug 2012, 12:10 pm
In other institutional investment fraud news, the Securities and Exchange Commission has filed charges against Edward Bronson and his E-Lionheart Associates LLC. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
5 Jun 2012, 8:14 am
Attorney for the Southern District of Florida; John V. [read post]
15 Aug 2011, 8:54 am
Gutpa, it will do so in federal court in New York and designate it as related to the other Galleon cases pending before Judge Rakoff. [read post]
22 Jun 2011, 10:39 am
In a separate proceeding, the New York attorney general sued JCG and JCM, alleging that they entered into secret agreements to allow market timing in several funds run by JCM. [read post]
10 Jun 2011, 1:32 pm
So, as the securities litigation bar awaits the Court’s decision in Janus Capital v. [read post]
28 Mar 2011, 7:02 pm
Trustee Want Chapter 11 Trustee for West End Financial The Securities and Exchange Commission and the U.S. [read post]
24 Sep 2010, 7:00 am
Securities and Exchange Commission v. [read post]
13 Sep 2010, 1:04 am
Sharesleuth took a closer look at the registration statement covering the resale of those shares, and found that no fewer than eight people who participated in the placement have been the subject of Securities and Exchange Commission actions or criminal prosecutions. [read post]
6 Jul 2010, 5:17 pm
The tip was a bad one and the Securities and Exchange Commission sued for securities fraud. [read post]
