Search for: "US Securities and Exchange Commission v. Brown"
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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]
19 Apr 2017, 4:38 am
Securities and Exchange Commission enforcement tool may soon be reined in by the U.S. [read post]
17 Apr 2017, 4:04 am
Securities and Exchange Commission, a case to be argued tomorrow that asks whether a federal statute of limitations on civil penalties and forfeitures applies to disgorgements, warning that a ruling against the SEC could “make it harder to maintain a pool of award money that’s been available to whistleblowers since the Dodd-Frank Act was implemented in 2011. [read post]
14 Mar 2017, 4:27 am
” In an op-ed in The Hill, Carolyn Shapiro argues that Democratic senators should try to” get behind the smokescreen” created by “the rhetoric of neutrality” by, for example, using Brown v. [read post]
6 Mar 2017, 4:26 pm
In U.S. v. [read post]
1 Mar 2017, 9:30 am
”Latest Court of Session opinion on Heather Capital, published 28 February 2017: EXTRA DIVISION, INNER HOUSE, COURT OF SESSION[2017] CSIH 19 CA207/14 and CA208/14 Lady Paton Lady Clark of Calton Lord Glennie OPINION OF LADY PATON in the cause HEATHER CAPITAL LIMITED (in liquidation) and PAUL DUFFY (as liquidator) Pursuer and Reclaimer against LEVY & McRAE and others Defenders and Respondents and HEATHER CAPITAL LIMITED (in liquidation) and PAUL DUFFY (as liquidator) Pursuer… [read post]
27 Jul 2016, 4:00 am
Brown was already using against him and to protect himself from the harm caused by that use of force. [read post]
19 May 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that it will grant a whistleblower its third-largest reward ever of between $5 Million and $6 Million – emphasizing that employees are often the ones who are best-placed to discover securities violations, the SEC justified the decision as rewarding an insider tip that led to the discovery of violations that would have been “nearly impossible” for the SEC to detect on its own. [read post]
3 May 2016, 10:28 am
The Securities and Exchange Commission today announced fraud charges against 10 individuals involved in schemes to trick investors into buying shares of a particular company stock. [read post]
17 Apr 2016, 9:05 pm
Newman” [Richard Epstein, Yale Law Journal on Second Circuit’s decision via Stoll] DoJ cracks down on big-investor activism — at least when of a sort antitrust enforcers don’t like [Matt Levine] Tags: antitrust, Department of Justice, Elizabeth Warren, guns, NYC, Operation Choke Point, Securities and Exchange Commission Banking and finance roundup is a post from Overlawyered - Chronicling the high cost of our legal system [read post]
15 Apr 2016, 9:25 am
’”[viii] There are others who have expressed concerns regarding the DOL rule, including the Securities and Exchange Commission, the insurance and securities industries, as well as politicians, which shall be discussed in future postings.Still, many in the government feel the rule is a victory. [read post]
10 Apr 2016, 9:17 pm
Disclosure Commission (2007), our forefathers “did not trust any government to separate the true from the false for us” in the realm of politics. [read post]
13 Jan 2016, 5:05 pm
The government response was the enactment of the Securities and Exchange Act of 1934, which created the Securities and Exchange Commission (SEC) and made financial reporting obligatory for public corporations. [read post]
27 Nov 2015, 9:39 am
The Brown decision took place outside the context of a threat to national security. [read post]
24 Nov 2015, 7:05 am
Douglas, who had been chairman of the Securities and Exchange Commission; and Robert H. [read post]
7 Oct 2015, 4:46 pm
July 10, 2013) (holding attorney-client privilege and work-product protection were waived where company voluntarily provided to the Securities Exchange Commission the content of interview notes and summaries prepared by counsel); but see SEC v. [read post]
20 Aug 2015, 7:11 am
Dax White is the managing partner of the White Law Group, a national securities, fraud securities, arbitration, and investor protection law firm. [read post]
26 Jan 2015, 1:12 pm
Referring to counter-terrorism cases and relevant public protocols in the UK, his presentation demonstrated the complexity of state secrets, the supervision of security intelligence agencies, and the tension between human rights and national security. [read post]
9 Nov 2014, 6:46 pm
This is done by creating the United States Sentencing Commission, directing that Commission to devise guidelines to be used for sentencing, and prospectively abolishing the Parole Commission. [read post]
5 Sep 2014, 5:33 am
Jerry Brown, also bans all gifts from lobbyists. [read post]
