Search for: "In Re Securities and Exchange Commission"
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5 May 2018, 7:59 pm
The Commission adopted a legislation to improve data sharing and open up more data for re-use. [read post]
14 Jun 2023, 12:55 pm
The Securities and Exchange Commission (SEC) and the Commodities Futures Trading Commission (CFTC) have both accused him of fraud. [read post]
2 Jul 2010, 7:30 am
… And in case you missed it: Just ahead of yesterday’s Canada Day celebrations, the Securities and Exchange Commission accused a company controlled by two Canadians of penny-stock manipulation using Facebook and Twitter, in what we’re told may be first-of-its-kind social-media fraud litigation for the agency. [read post]
20 Aug 2008, 1:41 pm
Although defendants had not been shown to be participants in those proceedings, we concluded that a conflict existed because, much like agency quasi-judicial proceedings, see Security and Exchange Commission v. [read post]
12 Apr 2022, 9:01 pm
The Commission elaborated on these requirements repeatedly in subsequent decades. [read post]
4 Jan 2017, 4:45 am
They collectively received nearly $9 million in undisclosed transaction-based commissions; none were registered with the Commission as a broker or associated with a registered broker-dealer. [read post]
22 Jul 2022, 3:39 am
(The original offering price for Preferred stock was $1,000, per share, according to the PPM,) Parking REIT Exec Reportedly Charged with Fraud According to the Securities and Exchange Commission on July 30 2021, the regulator charged an executive of the Parking REIT, and his wholly owned investment advisory firm, Vestin Mortgage LLC with fraud. [read post]
25 Mar 2016, 2:24 pm
The following exchange appeared in Liz Weston’s March 13, 2016 column in the L.A. [read post]
6 May 2023, 10:49 am
Securities and Exchange Commission 22-963Issues: (1) Whether the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010’s whistleblower award program excludes whistleblowers whose criminal conduct is only tangentially connected to a Securities and Exchange Commission enforcement action (and related actions) and who have pleaded guilty but have not been sentenced; and (2) whether the SEC’s heavily redacted Orders… [read post]
12 Apr 2016, 12:04 pm
The IPKat was saddened to learn belatedly from Francesca Re Manning, IP and Legal Manager of ICARDA, that Kay Chapman died of breast cancer in October 2015. [read post]
13 Jun 2023, 8:37 am
But the rise of SPACs has led to their abuse—taking advantage of investors—and a resulting crackdown by the Securities and Exchange Commission (SEC). [read post]
6 May 2014, 4:26 pm
The cyber threat is much broader than customer data privacy as addressed by the Securities and Exchange Commission’s Regulations S-P (regarding privacy of consumer financial information) and S-ID (regarding identity theft). [read post]
15 Dec 2008, 11:48 am
Bromley was part of a team from the firm that advised the Securities & Exchange Commission and Federal Reserve Bank of New York during the collapse of Lehman Brothers.KB ToysThe economy must be in bad shape if a toy company is having trouble staying in business. [read post]
10 Jun 2011, 1:32 pm
Michigan Bell Telephone Company was whether a regulation passed by the Federal Communications Commission (FCC) required local exchange carriers to make their existing entrance facilities available to competitors at cost-based rates in certain circumstances. [read post]
4 Sep 2018, 7:00 am
Shell shareholders sued a former Shell executive claiming securities fraud, and the executive subpoenaed three employees of the Securities and Exchange Commission. [read post]
4 Sep 2018, 7:00 am
Shell shareholders sued a former Shell executive claiming securities fraud, and the executive subpoenaed three employees of the Securities and Exchange Commission. [read post]
1 May 2009, 1:47 am
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FEDERAL DECISIONS:
Securities and Exchange Commission v. [read post]
28 Jan 2019, 1:34 pm
The sanctions were based on findings that Vungarala willfully violated Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder and FINRA Rules 2020 and 2010 by making materially false and misleading statements to conceal his commissions on investments made by a Native American tribe he was employed by to manage its investment portfolio. [read post]
26 Oct 2022, 7:29 am
Read more: IRS Exchange Rates for Your Tax Return | Bright! [read post]
23 Jan 2015, 8:17 am
Prior to that, securities-fraud lawsuits under Sections 10(b) and 20(a) of the Securities Exchange Act were filed by shareholders of Heartland Payment Systems, Inc. [read post]
