Search for: "In Re Securities and Exchange Commission"
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20 May 2016, 6:00 am
[More…] SEC $3.5 Million Mystery Whistleblower Reward by Matt Kelly in Radical Compliance We received another glimpse into the Securities and Exchange Commission’s thinking about whistleblowers on Friday—although as usual with SEC, details are sketchy and the primary thought is “we support whistleblowers as expansively as possible. [read post]
19 May 2016, 9:30 pm
The Securities and Exchange Commission (SEC) announced that it will grant a whistleblower its third-largest reward ever of between $5 Million and $6 Million – emphasizing that employees are often the ones who are best-placed to discover securities violations, the SEC justified the decision as rewarding an insider tip that led to the discovery of violations that would have been “nearly impossible” for the SEC to detect on its own. [read post]
18 May 2016, 8:47 am
What's worse is that when it finally comes time for the Securities and Exchange Commission to decide what needs to be done to protect the public from this guy, well, you're not gonna believe this, but the federal regulator couldn'... [read post]
18 May 2016, 6:34 am
On top of all this the company is the subject of several investigations by Congress and the Securities and Exchange Commission. [read post]
17 May 2016, 7:58 am
Securities and Exchange Commission (“SEC”) and the National Labor Relations Board (“NLRB”). [read post]
17 May 2016, 7:58 am
Securities and Exchange Commission (“SEC”) and the National Labor Relations Board (“NLRB”). [read post]
13 May 2016, 6:46 am
The Securities and Exchange Commission recently charged a father and son and five associates with defrauding investors in sham Native American tribal bonds in order to steal millions of dollars in proceeds for their own extravagant expenses and criminal defense costs. [read post]
13 May 2016, 6:13 am
Securities and Exchange Commission, on Monday, May 9, 2016 Tags: Capital formation, Confidentiality, Disclosure, Firm performance, Information asymmetries, Information environment,Investor protection, IPOs, Market reaction, Public firms, Regulation D, SEC, Securities regulation, Signaling, Underpricing Corporate Governance in an Era of Compliance Posted by Sean J. [read post]
12 May 2016, 11:17 am
The Securities and Exchange Commission today announced fraud charges against a California stock promoter and a New Jersey lawyer who allegedly were creating sham companies and selling them until the SEC stopped them in their tracks.The SEC alleges that Imran Husain and Gregg Evan Jaclin essentially operated a shell factory enterprise by filing registration statements to form various startup companies and misleading potential investors to believe each company would be… [read post]
11 May 2016, 9:26 am
They’re charged with violations of the antifraud provisions of the federal securities laws and related rules. [read post]
7 May 2016, 8:25 am
As Flora puts it: "This is a meat grinder you're being pushed through. [read post]
6 May 2016, 6:05 am
Court documents indicate the money came from a scheme Longmeyer had with MC Squared Consulting, which gave him kickbacks in exchange for help securing contracts with two insurers. [read post]
5 May 2016, 8:25 am
Securities and Exchange Commission will issue a separate set of final rules for entities subject to its jurisdiction. [read post]
5 May 2016, 8:25 am
Securities and Exchange Commission will issue a separate set of final rules for entities subject to its jurisdiction. [read post]
5 May 2016, 7:46 am
It would also provide insight into whether companies are abusing arbitration or whether the process itself is fair.The proposed rules which the CFPB is seeking comment on would apply to most consumer financial products and services that the CFPB oversees, including those related to the core consumer financial markets that involve lending money, storing money, and moving or exchanging money. [read post]
3 May 2016, 5:08 pm
The named plaintiffs allege that OPM failed to implement and maintain adequate cyber-security measures to protect the class members’ PII and PPI.[7] Regulatory Actions The Federal Trade Commission (“FTC”) has been the most active federal regulator policing corporate cyber-security practices. [read post]
2 May 2016, 7:15 am
The Dodd-Frank Act added a provision involving misappropriation of inside information to the Commodity Exchange Act (CEA), and the CFTC brought its first enforcement action under this provision last year (In re Motazedi). [read post]
2 May 2016, 5:47 am
In 2010, Congress passed, and the US Sentencing Commission implemented, retroactively reduced sentences for crack cocaine dealers. [read post]
1 May 2016, 7:48 am
The Risks of Inaction and the Need to Weigh Competing Risks Thus far, the discussion has focused on sins of commission. [read post]
28 Apr 2016, 9:17 am
Private parties often do enter into various confidentiality and nondisparagement agreements, and they’re generally enforceable. [read post]
