Search for: "Frank v. Securities "
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27 Oct 2011, 11:34 am
At a forum hosted by the American Bar Association, senior SEC officials discussed a number of issues around international securities regulation, including regulatory arbitrage, the Dodd-Frank conflict minerals provisions, the Supreme Court’s Morrison ruling and the SEC study on the extraterritorial reach of the federal securities laws mandated by Dodd-Frank. [read post]
17 Mar 2011, 9:39 am
In a March 1 ruling, in Pezza v. [read post]
26 Aug 2013, 8:40 am
Randy Franks v. [read post]
12 Jan 2012, 1:09 pm
The hedge fund and securities industries are concerned that the proposed definition of eligible contract participant under the Dodd-Frank Act will cause substantial disruptions to financial markets. [read post]
14 Mar 2017, 1:54 pm
” Citing King v. [read post]
29 Aug 2017, 5:00 am
In United States v. [read post]
Morrison, Tourre, and the Misguided Interpretation of Rule 10b-5 (The Impact of Dodd-Frank) (Part 7)
25 Feb 2011, 5:00 am
Whatever the court decides in SEC v. [read post]
1 Dec 2015, 5:16 am
According to the FTC, the company’s failure to provide reasonable and appropriate security for personal information maintained on its computer networks resulted in two “security incidents. [read post]
25 Jan 2017, 5:24 am
Securities and Exchange Commission, Respondent, the United States Court of Appeals for the District of Columbia Circuit admonished the Securities and Exchange Commission that the federal regulator's imposition of a collateral bar for pre-Dodd Frank misconduct was an impermissible retroactive sanction. [read post]
23 Jul 2013, 9:00 am
” Asadi v. [read post]
23 Feb 2018, 6:09 am
Because the statute is clear, the Court did not accord deference to the SEC’s contrary rulemaking (Digital Realty Trust, Inc. v. [read post]
5 Aug 2015, 9:25 am
In Khaled Asadi, Plaintiff-Appellant, v. [read post]
24 Nov 2008, 8:25 pm
Kandler, Suffolk County filed suit against Frank and Deborah Kandler to secure possession of a piece of property the couple was occupying. [read post]
26 Jun 2017, 9:27 am
Supreme Court granted certiorari today in the case of Digital Realty Trust, Inc. v. [read post]
12 May 2012, 5:12 am
Circuit in Business Roundtable v. [read post]
10 Dec 2014, 7:01 am
An Ameritrade employee who alleged that he was discharged for reporting a securities violation to his supervisor filed suit under Dodd-Frank’s whistleblower anti-retaliation provision. [read post]
11 Sep 2015, 9:50 am
The court adopted GE Energy’s argument that Dodd-Frank did not protect employees against retaliation in response to internal reporting, stating that “[u]nder Dodd-Frank’s plain language and structure, there is only one category of whistleblowers: individuals who provide information relating to a securities law violation to the SEC. [read post]
10 Mar 2014, 8:13 am
In Lawson v. [read post]
30 Jan 2012, 9:52 am
The United States Sentencing Commission has implemented the directives of Section 1079A of the Dodd-Frank Act regarding cases involving securities fraud and cases involving mortgage fraud and financial institution fraud. [read post]
10 Mar 2018, 8:15 am
On February 21, 2018, in Digital Realty Trust Inc. v. [read post]
