Search for: "In Re Securities and Exchange Commission"
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15 Dec 2017, 1:02 pm
The findings stated that Marino received commissions of approximately $60,000 from the unsuitable transactions. [read post]
2 Aug 2011, 5:26 am
Milton, AIG's vice president of reinsurance, were sentenced to prison in 2009 for their involvement in the scheme, which authorities estimate cost AIG shareholders more than $500 million.Testimony from two cooperating witnesses associated with Gen Re helped convict the five executives of conspiracy, mail fraud, securities fraud and false statements to the Securities and Exchange Commission. [read post]
4 Aug 2011, 12:38 pm
They’re told to paint a picture of a duck, but they choose the brush, the colors and the frame. [read post]
11 Feb 2011, 12:28 pm
The Securities and Exchange Commission's own exhaustive 2009 survey of U.S. and foreign firms showed that the burden of complying with Sarbox remains a major deterrent to going public in the United States. [read post]
22 Feb 2018, 9:30 pm
Securities and Exchange Commission—and not when they disclose to others, like higher authorities within the company itself. [read post]
9 Jul 2012, 6:50 pm
There’s also the fact that the 9/11 case will be Guantanamo’s most consequential prosecution, and thus deliver a verdict on the re-tooled commission system. [read post]
23 Feb 2018, 3:09 pm
… The Dodd-Frank Act provides specified whistleblower rights to an employee who communicates a securities law violation “to the [Securities Exchange] Commission”. [read post]
16 Apr 2018, 4:48 pm
Securities and Exchange Commission (SEC) charged two co-founders of Centra Tech, Inc., (Centra) a purported financial services start-up, with orchestrating a fraudulent initial coin offering (ICO), a term that is meant to describe the offer and sale of digital assets issued and distributed on a blockchain, that raised more than $32 million from thousands of investors. [read post]
27 Apr 2019, 3:46 am
[They’re] still buying, using investing. [read post]
30 Jan 2020, 12:42 pm
They’re complying with their mandatory reporting duties, or at least, nobody seems to be accusing them of noncompliance. [read post]
29 Jun 2022, 7:17 am
That has led the Securities and Exchange Commission (SEC) to propose new rules relating to SPACs. [read post]
5 Jan 2018, 3:56 am
Also at the same time, the company is becoming public – to use the proper securities law terminology, its common stock is being registered under the Securities Exchange Act of 1934 – meaning that holders of shares that aren’t restricted in some way can freely sell them in the future at prevailing market prices or hold onto them, at their option. [read post]
29 Nov 2010, 11:47 am
Both entities were sued for fraud by the Securities and Exchange Commission (SEC) in the summer of 2009. [read post]
15 Dec 2008, 5:08 am
Securities and Exchange Commission in 1999. [read post]
3 Feb 2022, 7:36 am
File An SEC Complaint If the defense contractor is a publicly-traded company, the Securities and Exchange Commission (SEC) may want to investigate. [read post]
27 Feb 2012, 1:16 pm
FINRA’s comments on all the products in the letter can be found below: Residential Mortgage-Backed Securities and Commercial Mortgage-Backed Securities: Due to the embedded pre-payment option associated with mortgage-backed products, these securities carry significant re-investment risk, which can strongly affect the yield investors realize. [read post]
27 Feb 2012, 1:16 pm
FINRA’s comments on all the products in the letter can be found below: Residential Mortgage-Backed Securities and Commercial Mortgage-Backed Securities: Due to the embedded pre-payment option associated with mortgage-backed products, these securities carry significant re-investment risk, which can strongly affect the yield investors realize. [read post]
9 Sep 2013, 12:05 am
These exclusions, sometimes referred to as the commissions exclusion (because the exclusion’s list of the types of things exclude often leads often by specifying “commissions”), formerly were a standard part of D&O insurance policies. [read post]
14 Apr 2023, 2:51 am
Security Council resolutions that needlessly raised tensions and destabilized regional security. [read post]
19 Jan 2007, 2:31 am
Securities Litigation U.S. [read post]
