Search for: "In Re Securities and Exchange Commission"
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16 Sep 2015, 5:59 am
[New York Times] * We all know that Mark Cuban isn't that big of a fan of the Securities and Exchange Commission, but now he's trying to inject himself into the debate over the agency's use of in-house administrative law judges by way of filing a brief in support. [read post]
16 Sep 2015, 5:21 am
Last year, the Securities and Exchange Commission raised a cloud of concern when it started its cybersecurity initiative aimed at broker/dealers, investment advisers and fund managers. [read post]
15 Sep 2015, 10:01 pm
Securities and Exchange Commission (SEC) and accuses Tyson Foods of overstating in corporate and investor materials the priority it puts on animal welfare. [read post]
15 Sep 2015, 2:39 pm
There are multiple avenues you can take to put you on the road to a steady, secure job. [read post]
8 Sep 2015, 5:08 pm
According to reports, Noble, who took the proposed settlement under advisement, was also concerned about the scope of the releases the defendants received in exchange for modest consideration. [read post]
7 Sep 2015, 2:47 pm
Plaintiffs’ Data Breach-Related Securities Class Action Lawsuit Against Technology Service Company Providing Data Security Service to Company That Was Hacked: On August 5, 2015, as discussed here, a plaintiff shareholder filed a securities class action lawsuit in Santa Clara (California) Superior Court against MobileIron, Inc.; certain of its directors and officers; and its offering underwriters. [read post]
28 Aug 2015, 6:51 am
The service described in #2 is an app like Uber that connects those who want to interact and securely accomplishes the exchange of money. [read post]
28 Aug 2015, 6:40 am
Ahmad admitted he funneled business to Douglas Hampton, a securities broker, in exchange for bribes. [read post]
27 Aug 2015, 6:00 am
Here’s what the section actually says: Every one commits an offence who (c) being an official or employee of the government, directly or indirectly demands, accepts or offers or agrees to accept from a person who has dealings with the government a commission, reward, advantage or benefit of any kind for themselves or another person, unless they have the consent in writing of the head of the branch of government that employs them or of which they are an official; The nice thing about… [read post]
27 Aug 2015, 5:01 am
Specifically, the Securities & Exchange Commission made a statement about the federal interests involved in NASDAQ OMX that “strongly signal[ed] the substantial importance of the[] federal issues” at stake in the litigation. [read post]
24 Aug 2015, 3:20 am
I'm afraid that if we call too much attention to what's going on at the Securities and Exchange Commission ("SEC"), that we might inadvertently stop the positive change in its tracks. [read post]
20 Aug 2015, 7:11 am
Dax White is the managing partner of the White Law Group, a national securities, fraud securities, arbitration, and investor protection law firm. [read post]
20 Aug 2015, 5:59 am
[Big Law Business / Bloomberg BNA] * Wachtell Lipton may interested in going "big brother" on its associates, but when it comes to the Securities and Exchange Commission, the firm wants to steer clear of such voyeurism by doing away with clients' quarterly reports. [read post]
19 Aug 2015, 6:59 am
The Securities and Exchange Commission charged BNY Mellon that it violated the Foreign Corrupt Practices Act by providing internships to family members of foreign government officials affiliated with a Middle Eastern sovereign wealth fund. [read post]
13 Aug 2015, 6:27 am
They’re suffering illiquidity and ignorance, and earning much less than what they ought to be earning. [read post]
6 Aug 2015, 1:59 pm
, In re Paradigm Capital Management, and we certainly expect to see more such cases brought by the Commission in the near future. [read post]
4 Aug 2015, 9:31 pm
Securities and Exchange Commission associate director, in a jump to Morgan Lewis & Bockius LLP’s white-collar group in Dallas in March. [read post]
27 Jul 2015, 6:10 am
Lewis is accused of participating in some cases and in approving the sales, the Securities and Exchange Commission said. [read post]
22 Jul 2015, 3:56 am
In addition, check out this study entitled “Consumers Prefer Firms with Lower CEO-to-Worker Pay Ratios” – and this WSJ article entitled “CFOs Prep for Pay-Ratio Rules“: Finance chiefs at public companies are looking for clarification from the Securities and Exchange Commission as they prepare to comply with coming regulations on how they must disclose the boss’s pay compared to a typical worker. [read post]
21 Jul 2015, 3:28 pm
Counsel was unaware of any earlier conviction for an exchange of political favors. [read post]
