Search for: "Securities and Exchange Commission v. Smith"
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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]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
27 Oct 2012, 7:44 am
Underhill in Kramer v. [read post]
15 Oct 2021, 7:38 am
The Commission consists of nine Senators, nine Members of the House of Representatives, and five senior Administration officials appointed by the President. [read post]
28 Apr 2017, 8:37 am
In contrast to the Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), which consider a company’s disclosure of individuals’ involvement in the misconduct as an important factor in their analysis,[[iii]] the Yates Memo has adopted an “all-or-nothing” approach: it requires corporations to disclose to the DOJ all relevant facts about individuals’ involvement in the misconduct in order to qualify… [read post]
30 Jan 2024, 9:02 pm
”[26] In the Commission’s telling, “[a]s part of the settlement process, the Commission and a defendant negotiate terms,” and “if either party disagrees with terms t [read post]
21 Jan 2008, 8:59 am
A Securities and Exchange examination staff had discovered a number of violations in June 2003, including undisclosed conflicts of interest and breaches of fiduciary duty. [read post]
5 Nov 2015, 9:49 pm
Securities and Exchange Commission (SEC) released its final rule on crowdfunding—a largely online-based process of funding projects through numerous donors—that authorizes companies to use crowdfunding to issue securities, and broadens the group of eligible investors for these types of transactions. [read post]
8 Jan 2024, 5:42 pm
Moab Partners, L.P. is whether a violation under a Securities and Exchange Commission regulation, Item 303 of Regulation S-K, can support a claim of securities fraud. [read post]
25 Mar 2009, 1:07 pm
Unit" indicates that prosecutors competed with SIPC trustee Irving Picard in Securities and Exchange Commission v. [read post]
23 Oct 2012, 2:06 pm
James Cannell argued that under the test established in Boumediene v. [read post]
5 Apr 2019, 5:58 am
Smith, and Kellie C. [read post]
10 Feb 2018, 5:26 am
Robert Chesney and Steve Vladeck shared this week’s National Security Law Podcast, in which the two discuss, among other things, President Trump’s treason remarks, military commissions, and the Doe v. [read post]
24 Aug 2016, 4:26 pm
” Her Honour referred with approval to the following statement in Australian Securities and Investments Commission v Citrofresh International L [read post]
31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
31 Jul 2012, 6:32 am
District Court for the Southern District of New York recently held that Goldman Sachs & Co. did not have a duty to publicly disclose the receipt of a Wells Notice from the Securities and Exchange Commission (“SEC”). [read post]
23 Dec 2019, 11:29 am
(6) Smith v. [read post]
23 Jul 2012, 6:29 am
The Eleventh Circuit Court of Appeals dealt a blow to the Securities and Exchange Commission (“SEC”) and its long-standing practice of seeking broad federal court injunction orders directing defendants to refrain from any future violations of securities laws, often referred to as “obey-the-law” injunctions. [read post]
31 Jul 2009, 10:15 am
AmLaw reports:Securities law bloggers have been spilling virtual ink all week on the Second Circuit's July 22 ruling in Securities and Exchange Commission v. [read post]
1 Dec 2021, 11:39 am
Court of Appeals for the District of Columbia Circuit proceedings for the case Trump v. [read post]
