Search for: "Commonwealth v. Auditore" Results 1 - 20 of 22
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7 Jun 2017, 9:41 am
Commonwealth, 83 S.W.3d 522, 527 (Ky. 2002)).Huff v. [read post]
18 Jun 2015, 4:00 am by John Jascob
Circuit, where Montana state auditor and commissioner of Securities and Insurance, Monica Lindeen, along with Massachusetts Secretary of the Commonwealth William Galvin, have filed for preemptive relief in Lindeen v. [read post]
29 Jul 2009, 7:47 am
Compare that to the $0.00 that Pennsylvania taxpayers have paid so far for the prosecution of Commonwealth of Pennsylvania v. [read post]
29 Oct 2015, 7:18 am by John Jascob
In late May, Massachusetts Secretary of the Commonwealth William Galvin and Montana State Auditor Monica Lindeen had each filed petitions with the court requesting judicial review of the legality of the Commission’s expansion of the exemptions available under Regulation A. [read post]
15 Jun 2016, 5:57 am by John Jascob
In May 2015, Massachusetts Secretary of the Commonwealth William Galvin and Montana State Auditor Monica Lindeen filed separate petitions with the court, requesting judicial review of the legality of the Commission’s expansion of the exemptions available under Regulation A. [read post]
23 Feb 2011, 4:02 pm by INFORRM
Problem areas include what “unaware” means, the exclusion of electronic communications such as emails and the very broad common law definition of “publication” which has not changed since Duke of Brunswick v Hamer (1849) 14 QB 185. [read post]
18 Aug 2019, 8:18 pm by Omar Ha-Redeye
It was also submitted for judicial review to the Federal Court in Chrétien v. [read post]
2 Aug 2015, 5:10 pm by Kevin LaCroix
As discussed here, in December 2014, investors who had purchased the company’s ADSs on the New York Stock Exchange filed a securities class action lawsuit in the Southern District of New York against the company; certain of its directors and officers; its auditor; and its offering underwriters. [read post]
16 Jun 2016, 2:48 pm by Kevin LaCroix
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
21 Jun 2008, 10:01 am
Schwab obtained the services of JanineArvizu, a certified quality auditor, to review the protocols and session notes. [read post]