Search for: "SEC v. National Securities, Inc."
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8 Dec 2021, 7:27 am
Registered CPOs and CTAs must prepare and file Annual Questionnaires and Annual Registration Updates with the National Futures Association (“NFA”), as well as submit payment for annual maintenance fees and NFA membership dues. [read post]
16 Nov 2021, 6:08 am
Zenergy International, Inc. and an $80,000 penalty against the orchestrator of a pump-and-dump scheme in SEC v. [read post]
1 Nov 2021, 1:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
19 Oct 2021, 10:10 am
Jan. 27, 2016); Bartnett v. [read post]
23 Sep 2021, 10:58 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
13 Jul 2021, 5:30 am
Securities and Exchange Commission (SEC) fines and shareholder lawsuits, and get the PR crisis folks working overtime on explaining this mess to employees and shareholders. [read post]
29 Jun 2021, 2:27 pm
Ripple Labs Inc., Docket C.A. [read post]
28 Jun 2021, 9:45 am
Guardianship Estate of Keffeler, which interpreted a statute protecting Social Security benefits from "execution, levy, attachment, garnishment, or other legal process. [read post]
1 Apr 2021, 6:17 am
District Court in New York in Hertz Global Holdings Inc. v. [read post]
16 Feb 2021, 2:23 pm
See Omnicare, Inc. v. [read post]
12 Feb 2021, 5:57 am
Silk, Sabastian V. [read post]
22 Jan 2021, 7:56 am
The amici are the Council for Institutional Investors, the Securities Industry and Financial Markets Association, Inc., Investors' Exchange LLC, and MEMX LLC (The Nasdaq Stock Market LLC v. [read post]
22 Dec 2020, 9:43 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
12 Nov 2020, 2:18 pm
In the late winter and early spring of 2020, the once rosy outlook for oil and gas fracking companies turned decidedly darker as the Covid-19 pandemic gripped the nation. [read post]
15 Sep 2020, 3:03 pm
Heavy Voting Recap Facts: Bob Brain owns 75% of the outstanding common stock of Unicorn Enterprises, Inc. (75,000 of 100,000 outstanding shares). [read post]
1 Sep 2020, 11:00 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. [read post]
1 Sep 2020, 6:23 am
In addition, a petition for a writ of certiorari was filed in National Retirement Fund v. [read post]
19 Jul 2020, 7:17 am
Vasquez, Inc. v. [read post]
10 Jul 2020, 5:58 am
Securities and Exchange Commission, on Wednesday, July 8, 2020 Tags: Corporate liability, Disclosure, ESG, Institutional Investors, Materiality, SEC, Securities regulation, Sustainability 8 Steps for Audit Committees to Navigate the Pandemic Posted by Hille R. [read post]
20 May 2020, 1:58 pm
Guest Post by Colleen V. [read post]
