Search for: "In Re Securities and Exchange Commission"
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13 Apr 2010, 10:37 am
Journal, Apr. 8, 2010 at C1 James Kelso, once a star mutual-fund manager, was accused by the Securities and Exchange Commission of deliberately inflating the value of subprime securities in order to hide losses in his funds after the real-estate bubble burst. [read post]
17 Sep 2022, 9:25 am
Securities and Exchange Commission (SEC), Federal Trade Commission (FTC), and Department of Justice (DOJ) in July 2022,” according to prior WNN reporting. [read post]
26 Mar 2010, 8:01 am
InterOil filed a false report with the Securities and Exchange Commission claiming that the company paid no fees for a private placement $95 million convertible debt offering. [read post]
2 Sep 2024, 7:16 am
In addition, various kinds of AI-related corporate and securities lawsuits have arisen, as well, including securities class action litigation. [read post]
2 Dec 2021, 9:03 pm
Securities and Exchange Commission (SEC) issued guidance on company disclosures of spring-loaded awards to executives. [read post]
7 Jan 2010, 6:19 am
Rodgin Cohen is a partner and chairman of Sullivan & Cromwell LLP focusing on acquisition, corporate governance, regulatory and securities law matters. [read post]
10 Jul 2024, 8:26 am
On February 1, for example, a multi-story apartment building housing Médecins Sans Frontières (MSF) staff and their families was hit by Israeli tank fire without warning, killing two people and injuring seven others. [read post]
16 Jan 2014, 4:30 am
” It was mainly the Uniform Evidence Act with some re-organization and re-drafting. [read post]
20 Mar 2018, 1:16 pm
The California Data Breach Notification Law, for example, requires firms doing business in California involving user data to notify users in the event of a “breach of the security of the system. [read post]
26 Aug 2022, 10:56 am
The Responsible Financial Innovation Act, offered in June by Senators Cynthia Lummis (Republican from Wyoming) and Kirsten Gillibrand (Democrat from New York), would, in Lummis’ words, classify a “majority” of cryptocurrencies as securities subject to regulation by the Securities and Exchange Commission (SEC). [read post]
15 Aug 2010, 6:52 am
In 2007, I'd quoted from their 10-K (which is an annual report filed with the Securities and Exchange Commission) which informed us that: the company has a "significant level of indebtedness that could adversely affect our financial position," mostly spent to buy competing private prison companies. [read post]
17 Dec 2018, 3:14 pm
Securities and Exchange Commission. [read post]
27 Apr 2021, 7:30 am
//hdl.loc.gov/loc.pnp/hec.28258 Hired by the Securities and Exchange Commission in 1935 and living in the nation’s capital, he had to love the future Mrs. [read post]
21 Feb 2023, 8:24 am
Chase P.A. where he works on securities and regulatory matters and helps investors recover losses. [read post]
17 Mar 2023, 12:13 pm
Securities and Exchange Commission from whistleblowers in the UK. [read post]
1 Oct 2008, 9:10 pm
Morgan Ward Doran, an attorney at the Securities and Exchange Commission in Los Angeles, was one of the voters who's used his paternity leave in the past week to lobby his members of Congress. [read post]
24 Mar 2009, 2:10 pm
" AIG is currently facing investigations by the New York Attorney General's office, the Federal Bureau of Investigation, the Securities and Exchange Commission, and the British Serious Fraud Office.And that is only in the last six months. [read post]
22 Jan 2016, 1:18 pm
The Journal calls the exchange of funds yet another “flashpoint” in the two rival countries’ relationship, amid a claim by Tehran that the money transfer was a ransom payment. [read post]
6 Feb 2019, 10:59 am
In Other News The China Securities Regulatory Commission (CSRC) announced the publication of draft rules for a “Nasdaq-style start-up board in Shanghai. [read post]
11 Oct 2019, 4:54 pm
In summer 2019, Facebook was hit by a US$5 billion fine from the US Federal Trade Commission (FTC), as well as a US$100m fine from the Securities and Exchanges Commission over its involvement in the Cambridge Analytica data scandal. [read post]
