Search for: "In Re Securities and Exchange Commission"
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15 Mar 2012, 8:20 am
Since 2009, the Securities and Exchange Commission has filed 25 cases against mortgage originators and securities firms. [read post]
14 Sep 2011, 2:00 am
O’Leary On August 30, 2011, the Securities and Exchange Commission (SEC) announced a settlement with James O’Leary, the former chief financial officer of Beazer Homes USA, to recover approximately $1.4 million in cash bonuses, incentive and equity-based compensation, and profits from his sale of Beazer stock during the period of time that the SEC alleged an individual at Beazer—but not O’Leary—was committing “accounting misconduct. [read post]
16 Feb 2017, 9:30 pm
Securities and Exchange Commission rule that required resource extraction companies to disclose payments made to foreign governments. [read post]
5 Oct 2022, 6:30 am
Section 15 and Section 20(a) provide that any person who directly or indirectly “controls” another person found liable for a violation of the Securities Act or Exchange Act, respectively, or any regulation thereunder is jointly and severally liable, to the same extent as the controlled person, to any person to whom the controlled person is liable. [read post]
6 Jul 2007, 12:35 pm
After writing about Idaho pulling its prisoners out of a Geo Group prison unit in Texas, it hit me where else I'd seen Geo in the news recently - they run the downtown jail in Beaumont where an inmate used a paper gun to hold two people hostage last week.With Geo Group (formerly Wackenhut) twice this week in the news, I decided to take a look at their 10-K statement, which is a corporate document publicly traded companies must file with the Securities and Exchange… [read post]
23 Jul 2021, 6:12 am
So, because we’re such big fans, we bought UpCounsel to prevent the service from closing and to focus on expanding it. [read post]
17 Feb 2017, 8:39 am
At the center was the stock exchange. [read post]
6 Jan 2017, 5:50 am
Securities and Exchange Commission, a choice which Trump said will advance “the financial security of the American people,” but which was reportedly criticized by progressive groups because of Clayton’s ties to the financial industry. [read post]
15 Mar 2010, 9:40 am
-Japanese security agreements was “no big deal. [read post]
18 Nov 2021, 9:03 pm
Securities and Exchange Commission (SEC) finalized a universal proxy rule, which allows investors who vote by proxy, rather than in-person, to vote for different combinations of directors who are competing against each other. [read post]
15 Sep 2016, 9:30 pm
WHAT WE’RE READING THIS WEEK The U.S. [read post]
20 Oct 2022, 9:47 pm
Securities and Exchange Commission should partner with the Commodity Futures Trading Commission to create a new self-regulatory organization funded by industry participants. [read post]
26 Mar 2007, 7:42 am
Profile of a cliff; falling off same The California company said in a filing with the Securities and Exchange Commission yesterday that all of its lenders have either pulled its funding or have said they will do so. [read post]
31 Jul 2013, 9:50 pm
In the U.S., the Securities and Exchange Commission regularly issues warnings to people to be careful of a new fraud. [read post]
31 Jul 2013, 9:50 pm
In the U.S., the Securities and Exchange Commission regularly issues warnings to people to be careful of a new fraud. [read post]
1 Nov 2023, 9:01 pm
Meanwhile, in Asia, Korea’s Fair Trade Commission (KFTC) raided four local securities companies over price fixing allegations related to the commission that the companies charged on their products, and Hong Kong’s Competition Commission conducted a third round of inspections at one of the city’s largest fish markets. [read post]
21 Mar 2019, 9:10 pm
Securities and Exchange Commission (SEC) voted to simplify and relax companies’ financial disclosure requirements. [read post]
27 Jun 2014, 6:19 am
Charges over ‘Pay-to-Play’ New York Times – William Alden | Published: 6/20/2014 TL Ventures agreed to pay almost $300,000 to settle charges it violated the Securities and Exchange Commission’s “pay-to-play” rules. [read post]
13 Sep 2023, 9:05 pm
In a new article, we examine these questions in the context of the Securities and Exchange Commission’s lawsuits involving crypto assets. [read post]
16 Oct 2014, 7:57 am
United States, 14-29, involving a prosecution under §10(b) of the Securities Exchange Act, or the ’34 Act, as we old-timers call it (rescheduled for this Friday’s Conference); and Crews v. [read post]
