Search for: "In Re Securities and Exchange Commission"
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5 Nov 2015, 8:43 am
The findings stated that the mismarked order tickets involved leveraged and inverse exchange-traded funds (ETFs). [read post]
27 Dec 2015, 9:25 pm
“The technology isn’t that secure, so you’re trusting people not to use it and be responsible. [read post]
14 Mar 2016, 9:39 am
” We’re a little sympathetic: the world would be a better place if we could all get public records on demand with a simple phone call. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
1 Jun 2010, 5:10 am
NY Congressman Anthony Weiner Updated at 7:22 PM Eastern Fraud Discovery Institute co-founder Barry Minkow released a 120 page open letter (including exhibits) to Securities and Exchange Commission Chairperson Mary Schapiro and Federal Trade Commission Chairman Jon Leibowitz, detailing a point by point rebuttal of every single allegation contained in New York Congressman Anthony Weiner's recent report alleging fraud,… [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
11 Jan 2019, 8:16 am
Trump reversed ZTE penalties in exchange for trade concessions with China. [read post]
23 Feb 2023, 9:05 pm
In a forthcoming article in the William & Mary Business Law Review, Jerry Markham, a professor at Florida International University College of Law, argued that the Securities and Exchange Commission (SEC) may have exceeded its authority by bringing enforcement actions against celebrities who received undisclosed payments for endorsing cryptocurrency companies. [read post]
6 Nov 2013, 9:54 pm
The Securities and Exchange Commission’s (SEC) recently proposed rules on crowdfunding are sure to draw crowds. [read post]
27 Jan 2022, 9:03 pm
Securities and Exchange Commission (SEC) announced new proposed measures to change the reporting requirements for private equity firms and hedge funds. [read post]
17 Jun 2013, 2:12 pm
A housekeeping matter here, a housekeeping matter there—and we’re in recess until tomorrow. [read post]
2 May 2023, 4:45 pm
Under KOSA, could a platform be sued for displaying content about them—or about needle exchanges, naloxone, or other harm reduction techniques? [read post]
5 Dec 2017, 11:00 am
So the British temporized; Parliament suspended the privilege as it applied to the Yankees in England but treated the Yanks held in America as prisoners subject to exchange. [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]
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]
2 May 2018, 11:16 am
Uber surrendered the Chinese market in 2016, selling its UberChina division to Didi in exchange for a 20 percent stake and $1 billion in investment. [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]
28 Jan 2013, 9:14 am
You’re in the “cleared field,” in that event–so what gives? [read post]
25 Aug 2018, 1:00 am
Then, late last month, the Wall Street Journal also reported that four Wells Fargo advisors had sent a letter to the Justice Department and the SEC, which is the Securities and Exchange Commission, essentially detailing long‑standing problems. [read post]
21 May 2012, 10:06 am
” The board of directors and executives running Green Mountain Coffee Roasters (NASDAQ: GMCR) appear to want the Securities and Exchange Commission who is investigating the company, the Judge presiding over class action lawsuits alleging securities fraud, and investors to believe they are incredibly incompetent or grossly negligent, rather than admit to any deliberate wrongdoing. [read post]
