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15 Aug 2010, 9:49 am
For further information, please contact us. [read post]
30 Aug 2012, 9:48 pm
A cease-and-desist and administrative proceedings order was recently instituted by the Securities and Exchange Commission against Hunter, who allegedly misappropriated money from his brokerage customers and, in turn, used the funds to pay personal expenses. [read post]
20 Jun 2017, 12:41 pm
Last year brought two of the top 50 SEC settlements, including one in an action against CR Intrinsic Investors, LLC arising out of claims of alleged insider trading. [read post]
30 Aug 2012, 9:48 pm
A cease-and-desist and administrative proceedings order was recently instituted by the Securities and Exchange Commission against Hunter, who allegedly misappropriated money from his brokerage customers and, in turn, used the funds to pay personal expenses. [read post]
29 Jan 2024, 12:00 pm
SEC Charged Morgan Stanley and Exec with Multi-year Fraud January 12, 2024 – Morgan Stanley Settles Block Trading Charges for $249 Million The Securities and Exchange Commission (SEC) filed charges against Morgan Stanley and its former equity syndicate desk head, Pawan Passi, for a multi-year fraud involving the disclosure of confidential information on block trading. [read post]
29 Nov 2023, 9:01 pm
In addition, the SEC also filed its first actions against issuers of non-fungible tokens (“NFTs”) in August and September 2023; Impact Theory LLC and Stoner Cats 2 LLC both settled the Commission’s cases against them.[9] Finally, the press release did not discuss the outcome of the SEC’s litigated case against Ripple Labs, where the U.S. [read post]
8 Feb 2021, 6:13 am
Investors who have suffered losses are encouraged to contact us at (800) 810-4262 for consultation. [read post]
16 Feb 2012, 1:03 pm
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
16 Feb 2012, 10:03 am
Fidelity Management & Research LLC, et al., No. 10-2240 (1st Cir. [read post]
13 Sep 2019, 5:49 am
Morley (Yale Law School), on Tuesday, September 10, 2019 Tags: Arbitrage, Disclosure, Exchange-traded funds, Investment Company Act, SEC, Securities regulation, Transparency Proxy Plumbing Recommendation Posted by Anne Sheehan and John C. [read post]
26 Apr 2019, 1:53 pm
GeigTech East Bay LLC v. [read post]
16 Mar 2015, 7:10 pm
The Baltic Dry Index, long noted as a reliable surrogate statistic for the volume of global shipping trade, has reached an all-time low in February 2015. [read post]
1 Nov 2023, 11:41 am
Freeport, like Masterworks, do not tokenize the objects themselves; Rather, they set up series LLC who acquires an artwork, via affiliated Freeport Curation LLC, which then becomes the series LLC’s primary asset and subject to investment under Tier 2 Regulation A of the Securities Act.[16] The tokens registered on the blockchain are just a corresponding visual representation of the ownership interest to a particular series, not conferring any rights that the share… [read post]
23 Sep 2011, 3:17 am
Hulu, LLC (Gray on Claims) (Patently-O) District Court Delaware: Use of the terms ‘charge’ ‘recharger’ and ‘connector’ do not render claim indefinite: Intermec Technologies Corp. v. [read post]
1 Mar 2023, 12:27 pm
There are structured products, which are combinations between stocks and bonds, exchange traded funds, a lot of people know about a trade like a stock, and they’re basically similar, you know, to the index, like an s&p 500 index. [read post]
2 May 2008, 6:14 am
For further information, please contact us. [read post]
1 Oct 2012, 3:00 am
Please contact us if you would like us to add your event to this list. **** October 1 Buy Cialis discount prices cialis uk Sponsor: SIFMA Event: Municipal Bond Summit Location: New York, NY October 1-2 Sponsor: Schwartz Tilson Event: Value Investing Congress Location: New York, NY October 1-2 Sponsor: FRA Event: Hedge Fund Operational Due Diligence Summit Location: New York, NY October 1-2 Sponsor: Brighton House Event: BHA Select Hedge Funds: 2012 Location: Boston, MA … [read post]
9 Oct 2008, 9:21 pm
For further information, please contact us. [read post]
18 Apr 2016, 8:13 am
Among the Q&As was the following exchange: 5. [read post]
31 Jan 2023, 5:23 am
Exchange-traded funds have become the most popular avenue, even though U.S. regulators have not yet permitted funds that invest directly in the digital currency, according to Investment News. [read post]
