Search for: "In Re Securities and Exchange Commission"
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10 Jan 2024, 2:12 pm
” Not alone, but lonelier then than now before the advent of decisions such as Securities and Exchange Commission v. [read post]
9 Oct 2007, 9:17 am
Two of the more common types of internet investment fraud are scalping and the pump and dump scam: SCALPING On July 9, 2007, the Securities Exchange Commission (SEC) filed securities fraud charges against Darrel and Jack Uselton in the U.S. [read post]
29 Apr 2010, 2:08 pm
Securities and Exchange Commission (SEC), one fully supported by the relevant statute, Section 10 of the Securities Exchange Act of 1934, that investors do have a right of action against these defendants. [read post]
16 Dec 2010, 5:03 pm
American Nursery marketed and sold grapevines, which LCGN and LCGNO produced in exchange for a percentage commission of each sale. [read post]
2 Nov 2009, 2:33 pm
Securities and Exchange Commission backed the petitioners in the case, the agency has not filed any actions enforcing the relevant statute since 1980. [read post]
29 Mar 2018, 9:30 pm
Securities and Exchange Commission (SEC), asking the Division to examine disclosures made by public companies about their chief executive officer pay ratios. [read post]
10 Feb 2020, 8:27 am
The committee will hear testimony from Nikki Clowers, the managing director of the health care team at the Government Accountability Office; Julie Gerberding, the former director of the Centers for Disease Control and Prevention; Scott Gottlieb, the former commissioner of the Food and Drug Administration; Luciana Borio, the former director for medical and biodefense preparedness at the National Security Council; and Asha George, the executive director of the Bipartisan Commission… [read post]
12 Dec 2017, 4:36 pm
Securities and Exchange Commission (SEC) made two key announcements in September of 2017. [read post]
12 Aug 2011, 8:10 am
Sure, occasionally she'll settle for no money at all, and the charge will be dismissed without even a position statement, and you can get a full release of claims in exchange, but you're 100 percent in the right, so you don't need it. [read post]
11 Aug 2011, 6:05 pm
The rules for most private company financings are found under the Securities Exchange Commission’s (SEC) “Rule 506,” which dictates how individuals and startups must conduct themselves when seeking investment funds by selling securities (a share of stock, a convertible note, etc.). [read post]
30 Jun 2017, 8:30 am
The exchange was part of a larger effort to develop ties between the two nations’ militaries and demonstrate common resolve. [read post]
14 Apr 2017, 1:51 am
Securities and Exchange Commission, the justices will consider whether this statute of limitations applies to disgorgements, a frequent remedy in SEC actions. [read post]
9 Sep 2021, 9:13 pm
Coinbase is the largest crypto exchange in the United States. [read post]
27 Jul 2011, 8:20 am
He would put Medicare and Social Security on the table in exchange for modest revenues on closing loopholes to prove he was willing to go the extra mile. [read post]
7 Jul 2022, 3:33 pm
Securities and Exchange Commission (SEC) outlining her allegations. [read post]
20 May 2011, 7:16 am
That means we’re not thrilled with the 8-K that CA (CA) filed on Wednesday. [read post]
14 Mar 2018, 1:30 pm
Without guidance from the Securities Exchange Commission, the token community has been left to regulate itself and scammers have taken advantage of it. [read post]
13 May 2019, 6:51 pm
Securities and Exchange Commission, Uber noted that the independent contractor status of its drivers “is currently being challenged in courts and by government agencies in the United States and abroad. [read post]
1 Aug 2023, 6:06 am
FINRA is overseen by the Securities and Exchange Commission (SEC) and is authorized by Congress to protect U.S. investors from investment fraud by making sure the broker-dealer industry operates fairly and honestly. [read post]
4 Nov 2013, 9:46 am
And there are legitimate parallels between the vehicle safety crisis of the 1960s and today’s software security conundrum. [read post]
