Search for: "In Re Securities and Exchange Commission"
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5 Oct 2021, 4:43 am
To support the allegations, Haugen shared more than 10,000 pages of internal documentation with the US Securities and Exchange Commission — all pretty damning stuff. [read post]
5 Jan 2011, 6:26 am
I will only discuss the Lanham Act claims, though they’re obviously just a part of the case, which includes a large RICO component. [read post]
2 Jan 2013, 9:00 pm
I thought about this album and its title while reading the Memorandum and Order from District Judge Keith Ellison in the Security and Exchange Commission (SEC) civil action filed against current and former officers of Noble Corporation, Mark A. [read post]
20 Aug 2010, 5:54 am
Young and Emily exchanged emails to arrange . . . their meeting . . . on November 13, 2008. . . . [read post]
31 Oct 2011, 8:06 am
The Hamiltonians had warned of “the adverse consequences of sustained large budget deficits” during the Bush administration and advocated “painful adjustments,” namely cuts to social insurance programs like Social Security and Medicare in exchange for more liberal policies like tax increases and healthcare reform. [read post]
6 Dec 2023, 10:30 am
And, indeed, as expected, the exchanges were lively. [read post]
27 Jan 2021, 11:22 am
Hsu repeatedly lied under oath to the Securities and Exchange Commission and encouraged her victims to lie to the FBI on her behalf. [read post]
29 Feb 2008, 8:08 am
Securities and Exchange Commission's EDGAR site, DART is a searchable repository for all Korean company filings. [read post]
15 May 2024, 9:01 pm
Following an investigation by the SEC’s Division of Enforcement, the Commission institutes an administrative proceeding and finds that because of the mutual conflict of interest created by the audit firm’s provision of non-audit services at reduced rates in exchange for being chosen as the company’s auditor, the audit firm and audit partner were not independent within the meaning of Rule 2-01(b) of Regulation S-X. [read post]
29 Jun 2023, 9:15 pm
Platt found that tipsters represented by lawyers—especially experienced lawyers and those who previously worked at the Securities and Exchange Commission—outperformed most other tipsters. [read post]
25 Oct 2018, 8:03 am
McMaster as Trump’s national security adviser. [read post]
1 Sep 2016, 7:56 am
The findings stated that Gioffre received commissions totaling $100,000 for the sale of approximately $2 million of securities to purchasers, who lost their entire investments. [read post]
20 Jan 2018, 12:00 am
” Helping you keep your legal ducks in a row and your nest egg secure with your host Victor Medina, an estate planning and elder law attorney and certified financial planner. [read post]
14 Aug 2020, 5:10 pm
Most true up clauses simply state that the parties shall exchange tax documents, 1099s, W2s, K-1s at a certain time of year. [read post]
18 May 2009, 1:01 pm
" "A legitimate securities salesperson must be properly licensed and his or her firm must be registered with FINRA, the Securities and Exchange Commission, or a state securities regulator - depending on the type of business the firm conducts. [read post]
21 Apr 2022, 9:08 pm
Securities and Exchange Commission’s shareholder proposal rule to advance commitments to reform corporate purpose, which is traditionally defined as maximizing shareholder value. [read post]
10 Dec 2008, 12:54 am
"Minkow said that Peterson knowingly "lied" in a Microsemi press release, when Peterson "categorically" denied Minkow's background report last week that he falsified his academic credentials in reports filed with the Securities and Exchange Commission. [read post]
25 Jan 2012, 11:17 am
Securities and Exchange Commission, will serve as leaders of the mortgage working group. [read post]
3 Mar 2020, 3:40 am
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a judicial remedy for violating the securities-fraud laws. [read post]
6 Aug 2012, 2:30 am
Brendler and his fellow jurors - a group that included a security guard, a lab technician and a full-time musician in a rock 'n' roll band - cleared the former Citigroup executive, Brian Stoker, of wrongdoing over his role in selling a complex $1 billion mortgage bond deal during the waning days of the housing boom.But even as the jury reached a consensus that the Securities and Exchange Commission failed to prove its case, it was left with an uneasy… [read post]
