Search for: "In Re Securities and Exchange Commission"
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21 Aug 2017, 5:00 am
File No. 3-17809 (Jan. 24, 2017), the Securities and Exchange Commission (“Commission”) found, in actions where the respondents neither admitted nor denied the findings, that Citigroup Global Markets Inc., (“CGMI”), and Morgan Stanley Smith Barney LLC (“MSSB”) violated Section 17(a)(2) of the Securities Act of 1933 (“Securities Act”). [read post]
10 Aug 2017, 9:30 pm
Securities and Exchange Commission to get involved. [read post]
4 Aug 2017, 10:03 am
Financial specialists – Investment firms who oversee extensive portfolios for their customers utilize the Fx market to encourage exchanges in remote securities. [read post]
3 Aug 2017, 3:58 pm
In April 2017, the Securities and Exchange Commission (SEC) denied proposals to list and trade shares of two Bitcoin trust exchanges, finding that the proposals did not satisfy SEC requirements that (1) the exchange must have surveillance-sharing agreements with significant markets for trading the underlying commodity (i.e., Bitcoin) or derivatives on that commodity and (2) those markets must be regulated. [read post]
2 Aug 2017, 9:00 am
CAZES’s 2-4% commission on Bitcoin transactions likely conducted with those funds would equal between $9-18 million[ . . .]. [read post]
1 Aug 2017, 10:59 am
The post SEC charges Former LPL Brokers re annuity recommendations appeared first on White Securities Law. [read post]
1 Aug 2017, 8:14 am
The post SEC charges Former LPL Brokers re annuity recommendations appeared first on White Securities Law. [read post]
1 Aug 2017, 7:55 am
And why did MetaboRX list as its general character of business “serving food; restaurant” on its filing with the Massachusetts Secretary of the Commonwealth The Securities and Exchange Commission also wants to know. [read post]
1 Aug 2017, 7:55 am
And why did MetaboRX list as its general character of business “serving food; restaurant” on its filing with the Massachusetts Secretary of the Commonwealth The Securities and Exchange Commission also wants to know. [read post]
31 Jul 2017, 2:38 pm
The Securities and Exchange Commission today filed charges to stop an alleged ongoing fraud by a Massachusetts businessman misusing investments intended for the development of cancer diagnostic tests to instead pay personal expenses and fund his fiancée’s restaurant businesses. [read post]
29 Jul 2017, 9:56 am
Tex. 2013) (citing In re Mullin, 433 B.R. 1, 18 (Bankr. [read post]
27 Jul 2017, 3:00 am
Here’s an excerpt from the WSJ article: American Airlines Group removed certain “descriptive language” from its financials at the behest of the Securities and Exchange Commission, according to recently released correspondence. [read post]
26 Jul 2017, 7:00 am
Notwithstanding such reason, it is absolutely necessary to the future of the issuer, its directors and officers and any agents, finders, or promoters, to appreciate and understand their responsibilities upon conducting a private placement, as illustrated in the recent British Columbia Securities Commission (Commission) decision, Re SunCentro, 2017 BCSECCOM 58 (SunCentro). [read post]
26 Jul 2017, 3:00 am
Instead, he made a small fortune on insider trading, which “was not illegal – and would not become illegal until Kennedy, as the first chair of the Securities and Exchange Commission (SEC), made it so in 1935 …”. [read post]
23 Jul 2017, 9:20 pm
Securities and Exchange Commission’s (SEC) pursuit of “disgorgement”—a type of repayment in which the defendant is required to turn over the gains obtained from violating the securities laws—is properly understood as a “penalty” within the meaning of a five-year statute of limitations on imposition of penalties by the SEC. [read post]
20 Jul 2017, 11:00 am
And although Comey testified that during the dinner his own impression was that Trump was “looking to get something in exchange for granting my request to stay in the job,” by Comey’s own account no such exchange was given explicit mention. [read post]
19 Jul 2017, 3:02 pm
Each of the incidents is related to Sabre Hospitality Solutions’ credit card data breach in its SynXis hotel-reservations system, which Sabre first announced in a quarterly filing with the Securities and Exchange Commission on May 17. [read post]
17 Jul 2017, 1:26 pm
Securities an Exchange Commission (SEC). [read post]
15 Jul 2017, 6:16 am
So I will instead re-hash old blog posts on this issue with — when necessary updated information. [read post]
14 Jul 2017, 2:36 pm
Securities & Exchange Commission (“SEC”) concluded that, from 2002 through 2012, Qualcomm Inc. engaged in several instances of conduct that violated the FCPA. [read post]
