Search for: "Securities & Exchange Commission v. Topping" Results 81 - 100 of 405
Sorted by Relevance | Sort by Date
RSS Subscribe: 20 results | 100 results
28 Mar 2012, 4:54 am by Jenna Greene
Turn Over: A federal judge has ordered Securities and Exchange Commission lawyers to turn over their notes to federal prosecutors handling the criminal case against Rajat K. [read post]
1 Dec 2022, 1:58 pm by Kevin LaCroix
  **********************   On November 16, 2022, Dell Technologies Inc. reached a $1 billion settlement with shareholders, according to a recently filed 8-K filed with the U.S Securities and Exchange Commission. [read post]
7 Dec 2010, 6:33 am by John Jascob
Securities and Exchange Commission (SEC) has only allowed the agency the reach to prosecute the most flagrant abuses of securities laws. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
3 Apr 2024, 9:01 pm by renholding
As is customary, my remarks this morning are in my official capacity as Director of the Securities and Exchange Commission’s Division of Enforcement, and do not necessarily reflect the views of the Commission, the Commissioners, or other members of the staff. [read post]
15 May 2024, 9:01 pm by renholding
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
11 Nov 2021, 2:07 pm by Kevin LaCroix
 Claim handlers continue to wrestle with enduring long-tail Exchange Act claims, federal and state Securities Act claims, and shareholder derivative suits without respite. [read post]
6 Mar 2014, 12:28 pm
Davis et al, New York State Supreme Court, New York County, and SEC v. [read post]
Continuing our annual tradition, we present the top developments/headlines for 2016 in trade secret, computer fraud, and non-compete law. [read post]
20 May 2011, 1:56 am by Kevin LaCroix
The securities were registered but not listed on any national exchange. [read post]
11 Sep 2012, 1:36 am by Kevin LaCroix
It is worth noting the DCF’s own observation in the guidance that it “is not a rule, regulation, or statement of the Securities and Exchange Commission”. [read post]
9 Jun 2023, 12:26 pm by Guest Author
Earlier this month on a Friday afternoon, the Securities and Exchange Commission quietly issued an extraordinary administrative order. [read post]
14 Feb 2018, 2:57 pm by Kevin LaCroix
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]
18 Feb 2022, 1:25 pm by Race to the Bottom
Elon Musk, with a net worth close to $240 billion, is not one to shy away from his dislike of the Securities and Exchange Commission (“SEC”). [read post]
4 Jan 2021, 1:26 pm by Kevin LaCroix
  I have set out below the Top Ten D&O Stories of 2020, with a focus on the future implications. [read post]
23 Apr 2023, 9:01 pm by renholding
It also established this important agency I’m honored to chair, the Securities and Exchange Commission. [read post]
25 Apr 2018, 7:36 am by John Jascob
Returning to the point during an exchange with Wall, Justice Kagan said that having power over pay, removal, or employment can interfere with decisional independence. [read post]