Search for: "In Re Securities and Exchange Commission"
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21 May 2012, 9:05 pm
For the record, the plaintiffs are alleging the following: The investors claim that the group made false and misleading statements about Gulf’s finances, withheld relevant business and financial information, and engaged in accounting fraud in its filings with the Securities and Exchange Commission. [read post]
21 May 2012, 10:06 am
” The board of directors and executives running Green Mountain Coffee Roasters (NASDAQ: GMCR) appear to want the Securities and Exchange Commission who is investigating the company, the Judge presiding over class action lawsuits alleging securities fraud, and investors to believe they are incredibly incompetent or grossly negligent, rather than admit to any deliberate wrongdoing. [read post]
18 May 2012, 8:23 am
The regulatory filing also confirmed that Wal-Mart is the subject of investigations by the Securities and Exchange Commission and the Justice Department. [read post]
17 May 2012, 8:54 am
We’re ready to secure Greece, if you pay cash 4. [read post]
17 May 2012, 8:52 am
While the Ontario Securities Commission has recently signalled it is considering changes to the rules with respect to shareholder rights plans that would give significant protection to plans approved by shareholders, for the moment shareholder approval is merely one of a number of factors that securities regulators take into account in determining whether or not to cease trade a rights plan. [read post]
15 May 2012, 9:14 am
As discussed here, the Commission announced that beginning on April 19, 2012, the SEC staff will begin to republish Commission orders pursuant to Exchange Act Section 12(j) revoking a company’s Exchange Act registration and Commission stop orders pursuant to § 8 of the 1933 Act on EDGAR. [read post]
15 May 2012, 5:00 am
Plaintiffs, acquirers of BP ordinary shares and ADS between January 16, 2007 and May 28, 2010, asserted that BP violated Section 10(b) of the Securities and Exchange Act of 1934 and Rule 10b-5 of the Securities and Exchange Commission by issuing false or misleading statements before and after the incident. [read post]
14 May 2012, 12:59 pm
The Securities and Exchange Commission May 9 sued Deloitte Touche Tohmatsu’s Shanghai affiliate for allegedly “willfully” failing to provide documents to the agency regarding a client under SEC investigation (In re Deloitte Touche Tohmatsu CPA Ltd., SEC, Admin. [read post]
9 May 2012, 12:51 pm
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 previously disclosed, Merck is a defendant in product liability lawsuits in the United States involving Fosamax (the “Fosamax Litigation”). [read post]
9 May 2012, 2:46 am
And there are other tactics that can, under certain circumstances, succeed at reaching an agreement even if they're not commonly accepted or liked. [read post]
8 May 2012, 6:42 am
Securities and Exchange Commission to appoint a receiver (the “US Receiver”) over the assets of SIB, Allen Stanford and other individuals who were allegedly running the scheme. [read post]
6 May 2012, 9:17 am
I’m not sure what you’re asking, responds the judge. [read post]
6 May 2012, 5:24 am
It focused on federal judges and national security. [read post]
5 May 2012, 9:24 am
I suppose one thing to consider is that according to the Securities and Exchange Commission, two months ago Costa's parent company Carnival posted $851 million recovered funds from its insurance policies which included $515 million in insurance proceeds coverage for the destroyed Concordia. [read post]
4 May 2012, 10:45 am
Colo.) and/or the US Securities and Exchange Commission Fair Fund, SEC v. [read post]
4 May 2012, 10:21 am
I’m not sure you’re characterizing the government’s argument correctly, Sentelle suggests. [read post]
2 May 2012, 9:27 am
© Stan for China Hearsay, 2012. | Permalink | No comment | Add to del.icio.us Post tags: SEC, Securities and Exchange Commission, US-listed Chinese companies [read post]
2 May 2012, 5:00 am
David Kotz, former Inspector General, Office of the Inspector General, United States Securities and Exchange Commission (2007-2012), currently Managing Director, Gryphon Strategies Interviewed by Lois Towers, Principal, Pantheon Ventures 9:30 – 10:10 Conducting an effective annual review • What does the SEC want you to look at? [read post]
30 Apr 2012, 3:39 pm
General Solicitation and General Advertising in Private Offerings Section 201 of the JOBS Act requires that within 90 days of its enactment, or by July 4, 2012, the Securities and Exchange Commission revise Regulation D to eliminate the prohibition on general solicitation and general advertising in private offerings made in reliance on the safe harbor afforded by Rule 506, provided that only accredited investors participate in the offerings. [read post]
30 Apr 2012, 7:33 am
Not only did the Justice Department and the Securities and Exchange Commission take no action against them, but the executives involved weren't even named. [read post]
