Search for: "In Re Securities and Exchange Commission"
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31 Aug 2018, 1:18 pm
We rely on contributions from our generous readers, and now, as a thank you, we're offering a Lawfare challenge coin! [read post]
31 Aug 2018, 9:14 am
They’re not kids. [read post]
28 Aug 2018, 5:00 am
Marital Property Division If you’re going through a divorce, you’ll want to do everything you can to protect yourself financially. [read post]
25 Aug 2018, 1:00 am
Then, late last month, the Wall Street Journal also reported that four Wells Fargo advisors had sent a letter to the Justice Department and the SEC, which is the Securities and Exchange Commission, essentially detailing long‑standing problems. [read post]
23 Aug 2018, 9:30 pm
Circuit to overturn the Federal Communications Commission’s (FCC) order which ended the Obama-era net neutrality rules. [read post]
22 Aug 2018, 1:28 pm
In re: Pending Administrative Proceedings (Order, Securities and Exchange Commission; '33 Act Rel. [read post]
21 Aug 2018, 7:49 am
The latest Ponzi was broke up by the Securities and Exchange Commission, which charged five unregistered salespeople in South Florida for unlawfully selling securities in a massive Ponzi Scheme that had swelled to almost $1.2 billion in assets. [read post]
20 Aug 2018, 1:40 pm
Specifically, we’re looking for schemes or abuses that might be more far-reaching than the individual cases brought through the FINRA arbitration process.Brokers & Brokerages Barred, Suspended, or Fined by FINRANewport Coast Securities, Inc. and Douglas Anthony Leone The firm appealed a National Adjudicatory Council (NAC) decision to the Securities and Exchange Commission (SEC). [read post]
17 Aug 2018, 7:45 am
" The Defendants then said, "We believe that investors, and the [Securities and Exchange Commission ("SEC")], would be most comfortable with the situation if David Blatt returned the funds taken at closing and he were no longer involved in the management of the investment. [read post]
15 Aug 2018, 5:00 am
In addition to federal criminal charges, the men also face charges by the Securities and Exchange Commission. [read post]
10 Aug 2018, 7:00 am
Automation & Control Lessons in Latest SEC Enforcement by Matt Kelly in Radical Compliance We have an interesting enforcement action from the Securities and Exchange Commission this week, where the agency dinged a telecom company and its former executives $1.9 million for misleading statements on revenue projections. [read post]
9 Aug 2018, 9:30 pm
Securities and Exchange Commission (SEC) adopted amendments to its regulations of alternative trading systems (ATS)—trading platforms not required to register as “exchanges”—that trade National Market System (NMS) stocks. [read post]
9 Aug 2018, 9:50 am
I certainly hope they’re right about that. [read post]
8 Aug 2018, 9:00 am
” Under the Texas Board Rules, a dentist may not offer or give cash to a third party for securing or soliciting patients. [read post]
8 Aug 2018, 9:00 am
” Under the Texas Board Rules, a dentist may not offer or give cash to a third party for securing or soliciting patients. [read post]
3 Aug 2018, 6:10 am
Securities and Exchange Commission, on Tuesday, July 31, 2018 Tags: Broker-dealers, Conflicts of interest, Duty of care, Duty of loyalty, Fiduciary duties, FINRA, Form ADV, Form CRS, Governance standards, Investment advisers, Investor protection, Retail investors, SEC, Securities regulation Statement Announcing SEC Staff Roundtable on the Proxy Process Posted by Jay Clayton, U.S. [read post]
3 Aug 2018, 6:00 am
Securities and Exchange Commission. [read post]
2 Aug 2018, 6:21 am
Radostitz asserted that her client was entitled to the presumption of innocence, despite having made a confession, citing In Re Mohammad. [read post]
29 Jul 2018, 1:14 pm
SEC (2017), Kavanaugh dissented from a decision upholding the Securities and Exchange Commission's broad theory of liability in enforcing fraud laws against a broker who transmitted a fraudulent statement dictated by his boss. [read post]
27 Jul 2018, 4:45 am
It instructs that bidders must include all details of a tender offer in filings to the Securities and Exchange Commissions (SEC) and the target company. [read post]
