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5 Feb 2013, 9:20 pm
Department of Justice has filed a securities class action lawsuit against S&P and its corporate parent, McGraw-Hill, about the rating agency’s ratings of collateralized debt obligations as the subprime meltdown unfolded. [read post]
27 Oct 2009, 12:53 pm
” Noting the SEC’s proposed proxy access rule and disclosure standards, Trillium’s Jonas Kron said the new bulletin “is further confirmation that the SEC is taking positive steps to bring the proxy rules in line with its mission to protect investors; maintain fair, orderly, and efficient markets; and serve the public good. [read post]
5 Jul 2019, 6:05 am
Securities and Exchange Commission, on Wednesday, July 3, 2019 Tags: Investor protection, SEC, SEC enforcement, Securities litigation, Securities regulation, Settlements [read post]
9 Jun 2020, 12:26 pm
[x] The court cautioned that, unless there was “a substantial likelihood that the disclosure of the omitted fact would have been viewed by the reasonable investor as having significantly altered the `total mix’ of information made available,” [xi] proposed disclosure-only settlements and accompanying attorney’s fees would not be approved going forward by the Chancery Court. [read post]
5 Mar 2011, 9:49 am
Expected to be published soon, the study's stated purpose is to "examine the internal operations, structure, funding, and the need for comprehensive reform of the SEC, as well as the SEC's relationship with and the reliance on self-regulatory organizations and other entities relevant to the regulation of securities and the protection of securities investors that are under the SEC's oversight. [read post]
4 May 2018, 6:01 am
Niles, Wachtell, Lipton, Rosen & Katz, on Wednesday, May 2, 2018 Tags: Asset management, Corporate Social Responsibility, DOL, Environmental disclosure, ERISA, ESG, Institutional Investors, Shareholder voting, Sustainability The Supreme Court’s Cyan Decision and What Happens Next Posted by Michael S. [read post]
14 Jun 2010, 8:39 am
Ricciardi was Deputy Director of the SEC’s Division of Enforcement, he led the Division through several proceedings that “significantly advanced” the SEC’s mission to protect investors. [read post]
4 Dec 2014, 10:30 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]
11 Aug 2008, 8:44 am
The events have the potential at least to mark the end of an approach to securities class action case resolution that became fashionable during the era of corporate scandals – that is, to try to ensure that as part of the case settlement that the certain individual defendants were forced to pay out of their own assets to resolve claims asserted against them. [read post]
27 Jan 2020, 1:42 pm
September, 2019 – Overconcentration, suitability, breach of fiduciary duty, negligence, negligent supervision, fraud, breach of contract, violation of the Virginia Securities Act, and violation of the Florida Securities and Investor Protection Act. $1,000,000 damages requested, pending. [read post]
15 Jan 2019, 2:48 pm
Chief Justice Strine thus distinguished those claims that were internal to the Corporation (like derivative and breach of fiduciary duty lawsuits), where jurisdiction of the Delaware Chancery Court could be mandated, from those types of claims that were external to the corporation (like securities fraud claims brought by shareholders). [read post]
1 Feb 2011, 6:55 am
” There’s a bit more detail on page 24, which states: “The Company pays the cost of security services and equipment for the president and chief executive officer in an amount that the Board believes is reasonable in light of his security needs and, in the interest of security, requires the chief executive officer to use corporate aircraft for personal travel. [read post]
8 Mar 2011, 12:56 pm
However, to the extent an investment adviser limits its interaction to non-retail investors in an offering that is exempt from registration under the 1940 Act, the Securities Act of 1933, and applicable state securities law, we do not believe that such licensing standards are properly imposed. [read post]
15 Oct 2021, 6:18 am
Corporate Liquidity Provision and Share Repurchase Programs Posted by Craig M. [read post]
23 Apr 2015, 11:41 am
The most recent leak was of the TPP's Investment Chapter, which revealed how such investor-state courts could be used to undermine fair use and other user protections in U.S. law. [read post]
24 May 2022, 7:14 am
The “blank check company” can become a public company without the usual SEC regulations which exist to protect investors. [read post]
25 Feb 2022, 5:01 am
Despite these problems, economic growth improved the quality of life for the people of Chile and attracted foreign investors to the nation, but also attracted migration flows from Peru and Colombia. [read post]
4 Apr 2023, 12:37 pm
“Whistleblowers play a critical role in helping the SEC detect and prosecute wrongdoing and in protecting investors and the capital markets,” said Creola Kelly, Chief of the SEC’s Office of the Whistleblower. [read post]
17 Feb 2022, 7:59 am
However, in interest-bearing accounts, the investors do not have these protections. [read post]
24 May 2013, 11:04 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]
