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It is still unclear whether the investigation will result in an enforcement action.[15] Other Financial Regulatory Agencies Beyond the SEC, other financial regulatory agencies have clearly signaled to the market that they intend to step up ESG regulation and enforcement: Approximately two weeks after the SEC announced its creation of the Climate and ESG Task force, the Commodity Futures Trading Commission (“CFTC”) established its own Climate Risk Unit “to… [read post]
25 Apr 2022, 1:39 pm by Kevin LaCroix
  The IronNet Complaint LGL Systems Acquisition Corp (LGL) was a special purpose acquisition company (SPAC). [read post]
4 Feb 2019, 6:28 am by Samuel Cohen
UNITED STATES OF AMERICA On 25 January 2019, an agreement was reached to end the 35 day shutdown of the US government – the longest shutdown in history. [read post]
9 Jun 2008, 4:40 pm
In contrast to similar multilevel organizations such as the Pampered Chef, Amway Corp., Avon Products, or Herbalife, World Financial wants to invest people's life savings. [read post]
22 Jul 2022, 3:39 am by The White Law Group
  If you have suffered losses investing in The Parking REIT (now known as Mobile Infrastructure Corp.) and would like a free consultation with a securities attorney, please call The White Law Group at 1-888-637-5510. [read post]
23 Oct 2015, 1:02 pm
ChinaCast’s stock offerings in the United States in 2008 and 2009 generated $48 million in net proceeds. . . . [read post]
29 Nov 2011, 6:51 am by Nabiha Syed
United States and Credit Suisse Securities v. [read post]
22 Apr 2015, 8:19 am by Tom Webley
In the face of recent high-profile data breaches affecting both private and public entities such as Target Corp. and the United States Postal Service, the need for an efficient and effective way for entities to share cybersecurity threat indicators and deter future attacks is increasing. [read post]
17 Sep 2008, 5:08 am
According to the plaintiffs’ counsel’s September 16, 2008 press release (here), plaintiffs have filed a securities class action lawsuit against BankUnited Financial Corp. and certain of its directors and officers. [read post]
20 Nov 2019, 6:21 am by Rob Robinson
This investment comes on the back of Active Navigation’s strong growth, adding some of the world’s best-known brands such as BAE Systems, the United States Marine Corps and Voya Financial to its customer portfolio. [read post]
10 Nov 2010, 7:10 am
Ambac Financial Group Inc., parent of the troubled Wisconsin-domiciled bond insurer Ambac Assurance Corp., filed for Chapter 11 bankruptcy relief on November 8, 2010. [read post]
24 Jan 2018, 6:30 am by Renae Lloyd
Vasquez, Sr. and Hoplon Financial Group for lying to investors in a real estate-related securities offering fraud. [read post]
10 Mar 2010, 6:40 am by Betsy McKenzie
The Boston Globe reports that con artists have set up a website that mimics the website run by the Securities Investor Protection Corp, SIPC.org. [read post]
2 Aug 2017, 7:18 am by Mark Astarita
  The SEC appreciates the assistance of the Financial Industry Regulatory Authority, Swiss Financial Market Supervisory Authority, Hong Kong Securities and Futures Commission, Liechtenstein Financial Market Authority, Guernsey Financial Services Commission, British Columbia Securities Commission, Québec Autorité des Marchés Financier, Ontario Securities Commission, Turks and Caicos Islands… [read post]