Search for: "U. S. Securities and Exchange Commission"
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26 Apr 2024, 11:25 am
The FTC has yet to pursue a new claim against New Balance Jeffrey Newman is a whistleblower lawyer whose firm represents whistleblowers in healthcare fraud cases under the False Claims Act (FCA) and also under the Securities and Exchange, FINCEN and CFTC whistleblower programs. [read post]
22 Dec 2020, 1:32 am
Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet Share Share Tweet ShareThe Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to…Read the Full Press ReleaseHave a… [read post]
18 Mar 2022, 8:18 am
JEFFREY NEWMAN REPRESENTS WHISTLEBLOWERS INCLUDING IN CASES OF SECURITIES AND EXCHANGE COMMISSION WHISTLEBLOWER CASES, MONEY LAUNDERING CASES UNDER THE TREASURY PROGRAM AS WELL AS IN FALSE CLAIMS ACT MATTERS REGARDING FRAUDULENT BILLING. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
23 Feb 2018, 12:00 am
Sarbanes-Oxley applies to all "employees" who report misconduct to the Securities and Exchange Commission [SEC], any other federal agency, Congress, or an internal supervisor [see 18 U. [read post]
12 Sep 2023, 6:31 am
Securities and Exchange Commission (SEC) rules requiring the use of UPC in contested director elections took effect in September 2022, allowing shareholders to vote on the same ballot for a combination of directors proposed by either management or a dissident. [read post]
12 Sep 2023, 6:31 am
Securities and Exchange Commission (SEC) rules requiring the use of UPC in contested director elections took effect in September 2022, allowing shareholders to vote on the same ballot for a combination of directors proposed by either management or a dissident. [read post]
6 May 2010, 7:38 am
Unlike Abbott, the outcome of Morrison seems predictable—that the prescriptive reach of the Act will be pulled-back—but there remains a live issue of whether the Court would put up a bar only to investors’ lawsuits, or whether it will also restrict the Securities and Exchange Commission’s powers to reach trans-national frauds. [read post]
21 Jan 2024, 9:01 pm
In Illumina/Grail, the Fifth Circuit reviewed the Commission’s reversal of the ALJ’s dismissal of the complaint. [read post]
23 Apr 2018, 11:51 am
At the same time, the Securities and Exchange Commission has warned the public about the potential for ICO scams. [read post]
13 Jul 2022, 6:29 am
Securities and Exchange Commission regarding the Proposed SEC Climate Disclosure Rule. [read post]
13 Jul 2022, 6:29 am
Securities and Exchange Commission regarding the Proposed SEC Climate Disclosure Rule. [read post]
6 Feb 2013, 9:10 am
As the new year is upon us, there are some important annual compliance obligations Investment Advisers either registered with the Securities and Exchange Commission (the “SEC”) or with a particular state (“Investment Adviser”) should be aware of. [read post]
4 Oct 2017, 8:32 am
Securities and Exchange Commission, Office of Inspector General, Executive Summary, Audit of the SEC’s Management of Its Data Centers, Report No. 543, Sept. 29, 2017 (Redacted for Public Use). [read post]
16 Dec 2021, 6:00 am
” Gjovik states that when she was put on “indefinite paid administrative leave” and then fired from Apple, she filed complaints to numerous agencies including the National Labor Relations Board, the Equal Employment Opportunity Commission, federal and state Departments of Labor, and the Securities and Exchange Commission. [read post]
23 Dec 2015, 1:02 pm
On December 15, 2015, the Securities and Exchange Commission (“SEC”) filed a Complaint and Jury Demand (the “Complaint”), alleging fraud charges against Atlantic Asset Management LLC (“AAM”), an investment advisory firm in Stamford, Connecticut, which is believed to have invested more than $43 million of its clients’ funds into bonds with secret financial connections to BFG Socially Responsible Investments Ltd. [read post]
14 Apr 2010, 8:25 am
Securities andamp; Exchange Commission, believes has occurred. [read post]
5 Jun 2014, 11:52 am
Such is the case with recent Securities and Exchange Commission (SEC) investigation into the actions of a former stock promoter, Robert J. [read post]
21 Jul 2009, 3:49 am
The Securities and Exchange Commission requires that individuals who want to enter the securities industry to sell any type of securities must take and pass the Series 7 examination to qualify as a general securities representative. [read post]
31 Mar 2022, 1:19 pm
Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC). [read post]
