Search for: "Billings v. United States"
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20 Mar 2023, 3:55 am
(Opinion, United States Supreme Court, 598 U. [read post]
8 Jan 2018, 3:12 am
(Complaint, United States District Court for the Southern District of Florida, 17-CV-62345) the SEC charged Joseph A. [read post]
22 Dec 2017, 8:44 am
Anvil Partners, Inc., (United States District Court for the Southern District of New York; 17-Misc-318) finding registered investment advisor Anvil Partners and its majority owner, president, and chief investment officer, Jeremy Beck, in civil contempt of court for failing to comply with the court's prior order enforcing a June 6, 2017, SEC investigative subpoena directed to Anvil. [read post]
12 Feb 2018, 3:21 am
Morales (United States District Court for the Middle District of Louisiana, No. 3:12-CV-00700 ) a final judgment was entered against hedge fund manager Walter A. [read post]
2 Jan 2018, 3:13 am
Khaled "Kal" Bassily (United States District Court for the Southern District of New York, 16-CV-2733 / Apr. 12, 2016), the SEC alleged that Khaled Bassily, former head of ConvergEx Group's transition management business, defraudd charities, religious organizations, and retirement funds by charging them substantially higher amounts than disclosed for the execution of trading orders.Without admitting or denying the SEC's allegations, Bassily… [read post]
20 Jun 2023, 4:44 am
Federal Court Sanctions Lawyers for ChatGPT UseRoberto Mata, Plaintiff, v. [read post]
5 Jan 2018, 5:59 am
Naccarato (United States District Court for the Southern District of Florida, 17-CV-24682-JLK), the SEC alleged that in September 2013, California-based attorney Owen H. [read post]
13 Aug 2022, 8:55 am
., Petitioner, v. [read post]
10 Jan 2020, 1:41 am
(Opinion, United States Supreme Court)FINRA Imposes $1 Million Fine On Prudential Investment Management Services For Retirement Plans' Supervisory Issues. [read post]
2 Nov 2018, 6:30 am
Ga.)In a Complaint filed in the United States District Court for the Northern District of Georgia, the SEC alleged that former investment advisor Charles A. [read post]
16 Dec 2017, 6:12 am
BATS Global Markets, Inc., et al, Defendants/Appellees (Opinion, United States Court of Appeals For the Second Circuit, No. 15‐3057-CV; December 19, 2017. [read post]
1 Aug 2022, 4:04 am
Georgie Court of Appeals Reverses Leggett v. [read post]
20 Feb 2018, 3:20 am
U.S. v. [read post]
27 Jun 2020, 2:54 am
United States Securities and Exchange Commission and Walter Clayton, Respondents (Opinion, 2Cir)SEC Charges BNP Paribas with Violations of Regulation SHO (SEC Release)SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers (SEC Release)... [read post]
4 Dec 2017, 3:41 am
Tao and Donna Boyd (f/k/a Donna Chen) (Complaint, United States District Court for the Southern District of Texas, Civil Action No. 4:17-cv-03678 ), Defendant Tao settled charges that he defrauded investors in Presidio Venture Capital by making material misstatements in offering documents and misappropriating investor funds. [read post]
27 Nov 2017, 4:28 am
,(United States District Court for the Southern District of New York, 16-cv-2779) the Town and the Ramapo Local Development Corp. (“RLDC”) are enjoined from further violations of the ’34 Act and subject to the following undertakings as set forth in the SEC Press Release:(a) requiring the Town and RLDC to retain an independent consultant (IC) with municipal finance experience appointed by the Court to review and recommend improvements to the Town's and… [read post]
8 Jan 2018, 3:13 am
., Plaintiff/Appellant, v. [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]
7 Sep 2022, 6:14 am
Case date: 19 May 2022 Case number: No. 21-56133 Court: United States Court of Appeals, Federal Circuit A full summary of this case has been published on Kluwer IP Law. [read post]
3 Jun 2009, 5:59 am
By Ashley PaynterIn Bonner v. [read post]
