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23 Oct 2017, 7:22 pm
[This] Notice of Proposed Rulemaking also proposes to direct the North American Electric Reliability Corp. [read post]
22 Sep 2021, 8:26 am
Sierra Income Corp. [read post]
22 Jan 2007, 9:01 am
"In our view, MySpace waited entirely too long to attempt to institute meaningful security measures that effectively increase the safety of their underage users," said Jason A. [read post]
24 Dec 2022, 4:47 pm
At a general level, the Government has certainly articulated a compelling national security interest in training Marine Corps recruits to strip away their individuality and adopt a team-oriented mindset committed to the military mission and defense of the Nation. [read post]
11 Jan 2023, 1:26 pm
Background Rodgers Silicon Valley Acquisition Corp., a special purpose acquisition company (SPAC), completed an IPO on December 8, 2020. [read post]
25 May 2011, 4:30 am
Corp., 603 F.3d 23, 32 (2d Cir. 2010), which had followed In Estate of Pew v. [read post]
21 Aug 2022, 7:08 am
Background Trident Acquisitions Corp. was a special purpose acquisition company (SPAC) formed in 2016. [read post]
11 Feb 2013, 12:21 am
Lincoln Financial Services Corp. [read post]
26 Jan 2012, 2:00 am
Corp. [read post]
12 Jun 2008, 5:29 pm
Yesterday, in CSX Corp. v. [read post]
28 Sep 2010, 5:25 am
Corp. [read post]
10 May 2021, 2:30 pm
In the latest SPAC-related securities class action lawsuit filing, a plaintiff shareholder has initiated a securities suit against Skillz, Inc., an online gaming platform that in December 2020 merged with Flying Eagle Acquisition Corp. [read post]
15 Apr 2009, 7:40 pm
Last week, Rep Dennis Kucinich, who heads the House Oversight Committee's Domestic Policy Subcommittee, asked the Securities and Exchange Commission to determine whether Bank of America Corp. violated federal securities laws when it did not tell shareholders that Merrill Lynch was going to pay executives $3.62 billion in bonuses. [read post]
27 Sep 2021, 12:16 pm
District Court Judge overseeing the cybersecurity-related securities class action lawsuit pending against title insurance company First American Financial Corp. has granted the defendants’ motion to dismiss. [read post]
24 Jun 2011, 11:39 am
For example, as Kevin LaCroix of the D&O Diary explains here, two recently filed credit-crisis related cases against Deutsche Bank (whose common shares trade on the NYSE and Frankfurt stock exchange) and Carlyle Capital Corp. [read post]
7 Feb 2020, 1:24 am
No. 2011025675501 / March 30, 2015) (the "2015 OHO Decision")https://www.finra.org/sites/default/files/fda_documents/2011025675501_FDA_SU7X9037%20%282019-1563040168829%29.pdfBy way of background, the OHO Hearing was conducted over seven days, and the Decision offers this concise "Summary":Springsteen-Abbott is an associated person of a FINRA member broker-dealer, Commonwealth Capital Securities Corp. [read post]
12 Feb 2021, 11:24 am
OFS Securities, Inc. and Oriental Financial Services Corp., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
27 Aug 2018, 12:19 pm
utm_source=govdeliveryCFTFC issued an Order filing and settling charges against BNP Paribas Securities Corp. for attempted manipulation of the ISDAFIX benchmark and requiring BNP Paribas to pay a $90 million civil monetary penalty. [read post]
19 Jun 2018, 7:40 am
Christopher Parris, Paul LaRocco, John Piccarreto, and Thomas Brenner, and three companies that they controlled: First Nationle Solution LLC, United RL Capital Services, and Percipience Global Corp. were charged in a Complaint filed by the SEC in the United States District Court for the Southern District of New York with violating the antifraud provisions of the federal securities laws. [read post]
27 Nov 2017, 4:28 am
SEC: Ramapo, RLDC Consent to Court-Appointed Independent Consultant Among Other Undertakings (SEC Litigation Release 23997)https://www.sec.gov/litigation/litreleases/2017/lr23997.htm Pursuant to a Consent Judgment in Securities and Exchange Commission v. [read post]
