Search for: "Securities and Exchange Commission"
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7 Feb 2007, 5:48 am
Last week, the Securities and Exchange Commission approved securities proposed by Zions Bancorp (a Utah banking group) that are designed to value the company's executive stock options. [read post]
5 May 2009, 1:31 pm
The Securities and Exchange Commission on Tuesday accused the father-and-son team that operated the Reserve Primary Fund of securities fraud, contending they lied to investors when the fund "broke the buck" last fall and created a near panic in the money market fund industry. [read post]
4 Jun 2009, 1:38 pm
Mozilo, the Bronx-born businessman who built Countrywide Financial into the nation's largest mortgage lender before it was knocked down by the credit crisis, has been charged with securities fraud and insider trading in a civil suit brought by the Securities and Exchange Commission. [read post]
20 May 2009, 3:11 pm
., the former chief executive of Lehman Brothers, submitted his resignation as chairman on May 14, almost eight months to the day since the securities firm filed for bankruptcy, according to a filing with the Securities and Exchange Commission on Wednesday. [read post]
20 Jan 2011, 9:01 am
The Securities and Exchange Commission continues its crackdown on companies for misleading investors, charging three affiliated New York-based investment firms and four former senior officers with fraud, misuse of client assets and other securities violations involving their $66 million advisory... [read post]
2 Nov 2007, 5:24 am
Citing sources close to the matter, The Wall Street Journal reported that the deals are likely to be examined by the Securities and Exchange Commission, [...] [read post]
15 Oct 2021, 8:30 am
The Securities and Exchange Commission today announced awards of approximately $40 million to two whistleblowers whose information and assistance contributed to the success of an SEC enforcement action. [read post]
22 Sep 2010, 7:36 am
Administrative Law Judge James Kelly is retiring from the Securities & Exchange Commission after 11 years of hearing cases brought by the agency's Division of Enforcement. [read post]
4 Feb 2003, 3:45 pm
[JURIST] The US Securities and Exchange Commission has posted recorded audio of Tuesday's open meeting on securities depository rules and investment company compliance systems. [read post]
26 Apr 2011, 10:34 am
Securities and Exchange Commission, 40 million Americans are age 65 or older, and that number will be 89 million in 2050. [read post]
2 Mar 2011, 2:00 pm
Securities and Exchange Commission Chairman Harvey Pitt's decision to cut short his own deposition late last week. [read post]
13 Apr 2008, 6:56 pm
On Friday, JPMorgan Chase filed its registration statement on Form S-4 with the Securities and Exchange Commission related to its acquisition of Bear Stearns. [read post]
28 Oct 2011, 4:33 pm
David Tamman, a partner in Nixon Peabody's Los Angeles office from 2007 until 2009, claims the firm abandoned him after he was implicated in a Securities and Exchange Commission investigation into an alleged securities fraud committed by a former client. [read post]
7 Feb 2007, 4:20 am
The settlement, announced by the Securities and Exchange Commission, was the second such action in about [...] [read post]
20 Jul 2010, 8:07 am
Viniar, the chief financial officer of Goldman Sachs, said the firm had not experienced a major loss of business as a result of the securities fraud case that it settled with Securities and Exchange Commission, saying that Goldman's clients were "pretty supportive. [read post]
6 May 2022, 2:31 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
14 May 2021, 10:15 am
., a Gaithersburg provider of platform technologies for cell engineering, announced Friday it has submitted a draft registration statement on Form S-1 with the Securities and Exchange Commission relating to a proposed dual-listing and public offering of shares of common stock on the Nasdaq Stock Market. [read post]
16 Apr 2010, 11:40 am
The Securities and Exchange Commission is looking closely at other mortgage security deals made in cooperation with investors betting against the housing market in the wake of its civil lawsuit against Goldman Sachs, the agency's enforcement head said on Friday. [read post]
6 May 2022, 2:28 pm
Morgan Lewis annually publishes a summary and analysis of the practices, developments, considerations, and enforcement actions of the US Securities and Exchange Commission (SEC). [read post]
23 Jun 2018, 1:44 am
Securities & Exchange Commission to decide the scope of primary liability/scheme liability under the federal securities laws. [read post]
