Search for: "Securities Investor Protection Corporation"
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25 Jul 2011, 2:00 am
The last six months have seen some significant victories in the SEC’s litigation efforts and accordingly, we expect the SEC to continue to pursue an aggressive strategy of filing cases against prominent defendants to demonstrate its vigor in investor protection. [read post]
10 Nov 2020, 9:00 am
According to the SEC, “all payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators. [read post]
8 Mar 2023, 12:31 pm
“I look forward to working with Kohn, Kohn and Colapinto and the whistleblowers they represent to bring accountability to Wall Street, protect investors, and ensure that the Dodd-Frank whistleblower programs fully advance the rights of whistleblowers, as intended by Congress,” former Commissioner Lee said. [read post]
12 May 2020, 9:45 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
11 May 2020, 3:45 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
11 Sep 2017, 9:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
30 Apr 2014, 6:24 am
The investigation has exposed widespread insider trading by investment professionals, hedge funds, and corporate insiders for illicit profits of approximately $430 million. [read post]
28 Jan 2009, 9:40 am
Stephen Harbeck, President and CEO, Securities Investor Protection Corporation. [read post]
18 Mar 2013, 2:25 pm
The Action Plan identified three main lines of action:Enhancing transparency – companies need to provide better information about their corporate governance to their investors and society at large. [read post]
2 May 2017, 8:36 am
“This bipartisan bill will enhance the ability of securities regulators to protect investors, deter Wall Street fraud, and punish repeat offenders,” said Senator Reed. [read post]
28 Jul 2011, 9:59 pm
SEC Has $453 Million Fund for Awards of Whistleblower Bounties, US Law Watch, July 22, 2011 Whistleblower Bounties More Blog Posts: Whistleblower Lawsuit Claims Taxpayers Were Defrauded When Federal Government Bailed Out Houston-Based American International Group in 2008, Stockbroker Fraud Blog, May 5, 2011 New Bill Calls for Whistleblowers to Notify Financial Firms of Alleged Violations, Institutional Investor Securities Blog, July 23, 2011 Ex-UBS Employee Can Proceed with… [read post]
22 Aug 2013, 4:02 pm
Every mortgage-backed security issued through FMIC will have a private investor bearing the first risk of loss and holding at least 10 cents in equity capital for every dollar of risk.Senator Corker noted that the 10 percent capital buffer is the right balance and sends the right signal to the financial markets. [read post]
13 Aug 2010, 8:00 am
Many of these key policies are critical to help protect the company and its employees from potential securities law violations, and to provide assurance to investors and others that the company is maintaining an appropriate “tone at the top” through the implementation of the latest corporate governance best practices. [read post]
9 Sep 2013, 10:20 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Boca Raton, Florida. [read post]
26 May 2017, 6:33 am
Choi, New York University, on Thursday, May 25, 2017 Tags: Attorneys’ fees, Class actions, Disclosure, Institutional Investors, Political spending, PSLRA, Securities fraud, Securities litigation, Settlements, Shareholder suits, Transparency [read post]
25 Jul 2017, 10:32 pm
CorpFin/Enforcement Statement – the statement basically provides an overview of the U.S. securities regulatory framework and describes how the framework of laws and regulations are designed to protect investors. [read post]
10 Sep 2014, 7:37 pm
The legislators asked the SEC and Fed to consider a new approach to risk retention that envisions the creation of a qualified open market CLO that would have to meet a series of strict criteria designed to protect investors and to ensure that a CLO's portfolio is conservatively invested, and that the interests of the CLO manager is aligned with the CLO investors. [read post]
28 Oct 2010, 7:16 am
-born financier ran afoul of the Russian government, which banned him from the country in 2005 as a threat to national security. [read post]
17 Feb 2017, 1:28 pm
This article is the first of a series of articles that will describe how managers or investors can monitor their EB-5 projects to discover potential problems before they become a crisis, and the protective actions that may be taken to protect EB-5 investors if their EB-5 projects are in trouble. [read post]
25 Oct 2023, 3:45 pm
According to Allison Herren Lee, former SEC Commissioner and currently Of Counsel at KKC, the SEC Whistleblower Reform Act of 2023 “will help ensure that the SEC Whistleblower Program remains an indispensable tool in the Commission’s efforts to police wrongdoing and protect investors. [read post]
