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19 Feb 2011, 3:56 pm
” The classic case is Lovenheim v. [read post]
15 Feb 2011, 8:32 am
Some critics of the staff’s study state that the SEC failed to make the case that such a standard is necessary for the protection of investors. [read post]
19 Nov 2010, 1:13 pm
- TITLE IX--INVESTOR PROTECTIONS AND IMPROVEMENTS TO THE REGULATION OF SECURITIES, Subtitle G--Strengthening Corporate Search Term Begin Governance. [read post]
24 Sep 2010, 7:00 am
Cal.): In this case, the SEC charged Brookstreet Securities Corp. and its President and CEO Stanley C. [read post]
8 Jun 2010, 6:10 am
Avaya, Inc., 564 F.3d 242, 256 (3d Cir. 2009) [blog article here]; Southland Securities Corp. v. [read post]
21 May 2010, 1:26 pm
Whirlpool Corp. v. [read post]
1 Feb 2010, 6:36 am
The Division has also hired a Managing Executive, in effect a chief operating officer, to manage information technology and oversee processes such as the distribution of Fair Funds to harmed investors, thus relieving staff attorneys of those responsibilities. [read post]
3 Dec 2009, 2:35 pm
., v. [read post]
13 Sep 2009, 7:24 pm
Sec. [read post]
6 Aug 2009, 6:51 am
SEC Plans The Securities and Exchange Commission plans to weigh in this week on an investor lawsuit against Joseph Collins, Refco Inc.'s former outside lawyer, and his law firm, Mayer Brown LLP, said Salvatore Graziano, a lawyer at Bernstein Litowitz Berger & Grossmann LLP in New York representing the plaintiffs. [read post]
18 Jul 2009, 7:31 am
The collapse of the subprime mortgage market, the ensuing credit crisis, the demise of several major investment banks and, perhaps most of all, the Madoff case led to a loss of confidence in the agency’s ability to protect investors. [read post]
28 Apr 2009, 7:14 am
West Publishing Corp. [read post]
5 Apr 2009, 1:26 pm
The SEC alleges that the brokers misled customers into believing that the auction rate securities were backed by federally guaranteed student loans when they were actually backed by subprime mortgages, CDOs, and other non-student loan collateral.[15] In addition, beginning in August 2008, the SEC announced settlements in principle pursuant to which a number of banks agreed to repurchase auction rate securities with a principal amount of over $50 billion.[16] The… [read post]
14 Feb 2009, 11:56 am
The sectors that account for the largest increases in activity are labor and consumer protection/fraud cases. [read post]
6 Aug 2007, 4:03 pm
(In re Thomas McKinnon Secs., CCH Fed Secur L Rep ¶ 99104 (1996, SDNY)). [read post]
19 Jun 2007, 9:15 am
Adviser 1***Morrison Foerster LLP, BELL ATLANTIC CORP. v. [read post]
