Search for: "In Re Securities and Exchange Commission"
Results 1461 - 1480
of 2,834
Sort by Relevance
|
Sort by Date
15 Sep 2016, 4:44 am
If withdrawn from the EU, the U.K. will need to both re-negotiate schedules with all 161 members of the WTO and decide whether it wants to negotiate a special agreement with the EU such that goods and services are subject to more favorable terms than those the EU imposes on third-party countries. [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
7 Sep 2016, 5:00 am
Circuit Court of Appeals for the District of Coumbia recently denied a petition to review an order of the Securities Exchange Commission (“SEC”) imposing sanctions against Raymond J. [read post]
6 Sep 2016, 12:12 pm
The Securities and Exchange Commission today charged the CEO of a sexual health products retailer and a paid promoter with orchestrating fraudulent promotional campaigns to tout the company’s stock. [read post]
6 Sep 2016, 8:48 am
I know what you’re thinking: I’ve heard of the European Commission, but what the heck is the European Council? [read post]
2 Sep 2016, 9:00 am
In exchange, the company promises to pay the investor a fixed return on his or her investment, typically principal plus annual interest. [read post]
1 Sep 2016, 7:56 am
The findings stated that Gioffre received commissions totaling $100,000 for the sale of approximately $2 million of securities to purchasers, who lost their entire investments. [read post]
30 Aug 2016, 12:27 pm
In addition to firing the four employees for alleged misconduct, Allstate also filed its annual 10-K form with the Securities and Exchange Commission and sent a memo to approximately 355 employees in its investment department. [read post]
29 Aug 2016, 5:00 am
Marital Property Division If you’re going through a divorce, you’ll want to do everything you can to protect yourself financially. [read post]
25 Aug 2016, 7:51 am
As you all probably already know, in 2015 the Securities and Exchange Commission (or the SEC) adopted Regulation Crowdfunding to implement Title III of the Jumpstart Our Business Startups (JOBS) Act. [read post]
24 Aug 2016, 4:26 pm
On 28 February 2013, Sino issued a prospectus for an Initial Public Offering (IPO) on the Australian Securities Exchange (ASX), inviting subscribers to apply for fully paid ordinary shares. [read post]
23 Aug 2016, 10:45 am
Yesterday, Amie Stepanovich of Access Now tweeted: If you're writing about gov hacking and only citing men-- PSA: @evacide, @granick, @Riana_Crypto, @Susan_Hennessey all worth talking to. [read post]
17 Aug 2016, 5:00 am
If you are Donald Lethen, as least according to the Securities and Exchange Commission, you could raise capital to do this and break a bunch of security laws in the process. [read post]
16 Aug 2016, 8:15 am
The Securities and Exchange Commission today announced that the former head trader in residential mortgage-backed securities (RMBS) at Goldman Sachs has agreed to be barred from the securities industry and pay $400,000 to settle charges that he repeatedly misled customers and caused them to pay higher prices. [read post]
11 Aug 2016, 2:55 pm
The Securities and Exchange Commission today announced fraud charges against a San Francisco man and his investment advisory firm accused of pretending to manage millions of dollars in assets and then stealing money from the first client who invested with them based on their misrepresentations.The SEC alleges that Nicholas M. [read post]
11 Aug 2016, 4:02 am
Securities and Exchange Commission. [read post]
10 Aug 2016, 8:34 am
The Securities and Exchange Commission today announced that an Atlanta-based building products distributor is settling charges that it violated securities laws by using severance agreements that required outgoing employees to waive their rights to monetary recovery should they file a charge or complaint with the SEC or other federal agencies.BlueLinx Holdings Inc. has agreed to pay a $265,000 penalty.According to the SEC’s order, BlueLinx added the monetary… [read post]
2 Aug 2016, 4:57 am
Scrolling feels natural on a smart phone; not so much for a laptop… Conflict Minerals: IPSA Uncertainty Likely to Carry Over to ’17 Here’s the intro from this note from Elm Sustainability Partners: With the Securities and Exchange Commission’s decision earlier this year to forego an appeal to the US Supreme Court of NAM v. [read post]
29 Jul 2016, 6:21 am
Cybersecurity experts have warned for years that campaigns and political parties are woefully weak in securing their data, despite the wealth of sensitive information they carry in their computer networks and email accounts. [read post]
27 Jul 2016, 4:00 am
The security video shows the entire fight commencing with a blindsided attack on Mr. [read post]
