Search for: "In Re Securities and Exchange Commission"
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9 May 2010, 12:16 pm
The Securities and Exchange Commission is investigating Overstock.com and its CEO Patrick Byrne for securities law violations (Details here, and here). [read post]
7 Dec 2011, 2:46 pm
We’re idealistic, but also pragmatic. [read post]
2 Aug 2023, 11:54 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]
20 Dec 2006, 2:10 pm
Welch, who heads up the Wilmington office of Skadden, Arps, Slate, Meagher and Flom LLP The Issuance And Trading Of Securities: The Changing Regulatory Framework In America, courtesy of Roberta Karmel, who was the first woman to serve as a Commissioner on the Securities and Exchange Commission Sarbanes-Oxley: What You Need To Know, from Marni Lerner, a partner at Simpson, Thacher and Bartlett, and Open… [read post]
24 Apr 2020, 6:14 am
State-of-the-art cryptographic techniques must be implemented to secure the data stored in servers and applications, exchanges between applications and the remote server. [read post]
19 May 2021, 3:00 am
The emerging civil case centers on Executive Chairman Jim Continenza’s June 23, 2020, purchase of nearly 47,000 Kodak shares, Kodak said in a quarterly Securities and Exchange Commission filing on Monday. [read post]
24 Jul 2014, 4:34 am
Last year, we discussed how Judge Leon’s questioning of a proposed settlement between IBM and the Securities and Exchange Commission for alleged books and records violations possibly contributed to an expanded investigation of the Company, and may have complicated the enforcement picture. [read post]
Privacy Victims by the Million: Federal Law Turns Parents and Children into Liars ... and Criminals?
5 Nov 2011, 12:11 pm
Apparently in exchange for providing this information, a child was entered into a contest. [read post]
16 Mar 2014, 4:41 am
Warren may have been naïve, but he thought he was being questioned as part of a civil Securities and Exchange Commission investigation. [read post]
27 Oct 2009, 8:54 am
For those that have been following Overstock.com for the past few years, it came as a great surprise that the Securities and Exchange Commission decided to investigate the company and its financial reporting. [read post]
26 Apr 2016, 11:28 pm
This (much longer than usual) blogpost looks at what entities are a party to the MOU, what type of document it is, what it does, and one report on how it is being implemented and issues that it raises. 44 Institutions The 44 cooperating institutions include government, Communist Party institutions, a public institution, and a government controlled non-profit organization, listed below in the same order as the document itself: National Development & Reform Commission (NDRC), SPC,… [read post]
27 Aug 2023, 6:25 am
., 845 F.3d 1135, 1144 (11th Cir. 2017) (quoting In re Commonwealth’s Motion to Appoint Counsel Against or Directed to Def. [read post]
15 Mar 2012, 11:40 am
Form 10-K Annual Report For the Fiscal Year Ended December 31, 2011, which was filed with the Securities and Exchange Commission on February 28, 2012: As of December 31, 2011, there were approximately 950 NuvaRing cases. [read post]
15 Jun 2011, 7:37 am
Then, early this March, the CEO signs a settlement with the Securities and Exchange Commission agreeing to fork over $6.5 million in cash, nearly 79,000 restricted shares and more than 40,000 restricted stock units, to settle a complaint related to earlier fraud allegations against his company. [read post]
10 Apr 2016, 9:17 pm
When prosecutors start running that process backwards, it’s a pretty good sign that you’re looking at prosecutorial power run amok…. [read post]
25 Sep 2009, 4:00 am
Last week, the Delaware State Bar Association sent an unprecedented comment to the Securities and Exchange Commission arguing for maintaining the primacy of Delaware law, especially in light of recent amendments to the Delaware General Corporation Law and the “significant equitable limitations on the power of the board of directors to frustrate stockholder electoral efforts. [read post]
15 May 2009, 6:05 pm
In the Irony Can Be Pretty Ironic Category Two enforcement lawyers at the Securities and Exchange Commission are being investigated by federal prosecutors and the FBI for possible insider-trading violations, according to a report from the SEC's inspector general. [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]
12 Jul 2010, 12:35 pm
(For example, in exchange for signing a contract with a given gauze maker, a GPO might get a percentage of whatever the company made selling gauze to members.) [read post]
4 Jan 2022, 8:18 pm
The federal Securities and Exchange Commission (SEC) settled fraud charges against Theranos and Holmes in 2018, reports Reuters. [read post]
