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18 Apr 2017, 1:07 pm
[Please scroll down for update] We've been posting on the insecurity of the fabled Exchange site for a very long while; here, for example:"Centers for Medicare & Medicaid Services (CMS) was using only weak security measures to protect a HealthCare.gov performance dashboard data warehouse"Turns out, the Federales knew from pretty much Minute Zero that the site was a security sinkhole:"Judicial Watch today ... records showing that the Obamacare… [read post]
18 Apr 2008, 12:49 pm
The General Counsel of the Securities and Exchange Commission and Harvard Law School graduate, Brian G. [read post]
21 Mar 2012, 9:06 am
Monday’s arrests were the result of coordination and exchange of intelligence with the U.S. [read post]
19 Sep 2018, 3:43 pm
Mascho was terminated from Western International Securities in December 2017. [read post]
4 Jan 2017, 7:51 am
There have been several challenges to the constitutionality of the in-house administrative judges at the Securities and Exchange Commission. [read post]
25 Aug 2020, 8:14 am
Joe Hede, Paulson Investment Company, New York, NY SEC Reportedly charges Joe Hede and Kevin Graetz with Selling Away in connection with Belize Infrastructure Fund I According to a press announcement yesterday, the Securities and Exchange Commission announced charges against former brokers Minish “Joe” Hede and Kevin Graetz for acting as unregistered brokers in the sale of securities issued by Belize Infrastructure Fund I, LLC. [read post]
20 Aug 2010, 3:54 am
Universal paid approximately $800,000 in bribes to officials with the government-owned Thailand Tobacco Monopoly (TTM) in exchange for securing approximately $11.5 million worth of tobacco sales contracts for its subsidiaries in Brazil and Europe. [read post]
21 Aug 2022, 7:08 am
” The complaint alleges that the defendants violated Sections 10(b) and 20(a) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. [read post]
10 Apr 2015, 7:39 am
Securities and Exchange Commission (SEC) has now brought its first whistleblower enforcement action against a publicly traded company under the Dodd-Frank Act of 2010 for utilizing an overly broad employee confidentiality agreement. [read post]
23 Feb 2023, 8:07 am
., a special purpose acquisition vehicle or SPAC, for the company’s failure to adhere to federal securities law requirements pertaining to internal controls. [read post]
13 Jun 2022, 12:37 pm
Private International Law Festival 16 to 17 May 2022 Edinburgh, United Kingdom by Michael Cremer and Samuel Zeh* After two years of living through a global pandemic, the very first Private International Law Festival from 16 to 17 May 2022, held in Edinburgh, was the first opportunity for many to finally meet other scholars and exchange ideas in person again. [read post]
12 Jan 2012, 1:09 pm
The hedge fund and securities industries are concerned that the proposed definition of eligible contract participant under the Dodd-Frank Act will cause substantial disruptions to financial markets. [read post]
5 Oct 2016, 6:33 am
The Securities and Exchange Commission announced on September 29th that International Game Technology (IGT) has agreed to pay a $500,000 penalty for firing an exemplary employee for reporting issues with the company’s financial statements. [read post]
12 Dec 2007, 12:34 am
After a year of listening to lawmakers hound him for another delay of the date when small companies must comply with the internal-control provision of the Sarbanes-Oxley Act, Securities and Exchange Commission Chairman Christopher Cox says he plans to supply such a reprieve. [read post]
12 Jul 2016, 4:33 pm
Securities and Exchange Commission’s (SEC) has been continually increasing its Foreign Corrupt Practices Act (FCPA) focus on U.S. companies doing business overseas. [read post]
16 Sep 2008, 4:05 pm
Securities and Exchange Commission has released a proposed road map for U.S. publicly traded companies to transition to international financial reporting standards (IFRS). [read post]
19 Jun 2020, 1:05 pm
The SEC (Securities and Exchange Commission) announced an award of nearly $700,000 to a whistleblower. [read post]
28 Feb 2020, 8:11 am
Securities and Exchange Commission (SEC) regarding a whistleblower letter the toymaker received last August. [read post]
11 Oct 2017, 6:17 am
Through separate agreements with the Department of Justice, the Securities and Exchange Commission and the Public Prosecution Service of the Netherlands (Openbaar Ministerie or “OM”), Telia resolved allegations that it paid more than $331 million in bribes to Gulnara Karimova, the daughter of the late Uzbek President Islam Karimov, in order to expand into the Uzbek telecommunications market. [read post]
6 Nov 2018, 10:38 am
That same month, the US Securities and Exchange Commission was able to get an emergency court order and asset freeze against Camarco. [read post]
