Search for: "In Re Securities and Exchange Commission"
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13 Sep 2018, 6:30 am
Among the recent developments that could give would-be investors pause: The U.S Securities and Exchange Commission in May announced that it had secured injunctive relief to halt alleged “ongoing fraud” by an unregistered, non-exempt Initial Coin Offering (ICO) that had raised as much as $21 million in cryptoassets. [read post]
3 Oct 2022, 7:11 am
Securities and Exchange Commission. [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]
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]
19 Dec 2014, 6:00 am
If you do decide to exchange dolls, we'd suggest you exchange paperwork confirming the terms of the resolution. [read post]
1 Jun 2021, 11:21 am
I served as the general counsel of the resulting “Commission on the Rules and Capabilities of the U.S. [read post]
3 Dec 2019, 6:30 am
The company is also the subject of class action lawsuits and is under investigation by the FBI, FINRA, The Securities and Exchange Commission, the State of Massachusetts, and New York City’s Business Integrity Commission. [read post]
8 Feb 2024, 9:12 am
Meehan is a skilled Massachusetts workers’ compensation lawyer who is committed to helping injured workers pursue securing the benefits they’re entitled to under the law, and if you hire him, he will advocate zealously on your behalf. [read post]
2 Apr 2024, 1:03 pm
Securities and Exchange Commission (“SEC”) has pursued investigations of insider trading involving over sixty parties. [read post]
17 Jan 2023, 2:03 pm
The Securities and Exchange Commission (SEC) obtained judgments against an investment adviser and its CEO for inflating the performance value of the funds. [read post]
29 Apr 2022, 3:00 am
Notably, Musk’s initial filing with the Securities and Exchange Commission categorized his purchase as a passive stake—which immediately raised questions given his public comments about how Twitter is run. [read post]
19 Apr 2023, 7:08 am
Matthew and I dig into the unanimous Supreme Court decision that should have independent administrative agencies like the Federal Trade Commission and Securities and Exchange Commission trembling. [read post]
19 Jun 2015, 7:46 am
Securities and Exchange Commission (the “June 19th Form 8-K”). [read post]
27 Apr 2007, 7:36 am
I challenge the Securities and Exchange Commission (SEC) to ask the following questions, and I challenge Usana to answer them truthfully: 1. [read post]
21 Jun 2013, 5:08 am
Securities and Exchange Commission’s (SEC’s) New York office broker-dealer examination staff. [read post]
12 Mar 2019, 8:17 am
” Investments such as these are typically sold by brokerage firms in exchange for a large up front commission. [read post]
28 Feb 2012, 2:00 am
Securities and Exchange Commission, on the sidelines of the Practising Law Institute’s annual SEC Speaks conference. [read post]
5 Jan 2024, 3:30 am
The SEC recently shot down the crypto exchange’s rulemaking petition (despite disagreement from Commissioners Peirce & Uyeda). [read post]
7 May 2009, 7:41 pm
Brewer-Hay's spontaneous, informal style.[...]Blogs and tweets can run afoul of Securities and Exchange Commission regulations on corporate communications. [read post]
6 Jan 2020, 1:32 pm
Santillo And Parris Buy Investment Advisers Businesses To Find Victims The Security and Exchange Commission’s complaint against Santillo and Parris says that they found victims by buying the businesses of investment advisers or brokers and convincing some of their customers to put money into the scam. [read post]
