Search for: "Fields v. Securities and Exchange Commission"
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4 Jan 2019, 6:59 am
United States Securities and Exchange Commission, Jay Clayton, and Brent J. [read post]
17 Oct 2019, 8:18 am
Hungar of Gibson, Dunn & Crutcher asserted that the SEC has created an "exogenous shock" to the securities market that threatens to harm investors, reduce liquidity, and unfairly tilt the competitive playing field in a way that harms exchanges and benefits off-exchange, dark venues without advancing any of the objectives of the Exchange Act. [read post]
10 Jan 2024, 9:01 pm
Securities and Exchange Commission. [read post]
8 Sep 2021, 6:54 am
Securities and Exchange Commission. [read post]
17 Aug 2022, 3:57 am
” As an opinion from one of the nation’s leading courts in the field of securities litigation, SEC v. [read post]
18 Jun 2007, 11:49 pm
By a 7-1 vote in Credit Suisse Securities v. [read post]
2 May 2012, 11:29 am
SinoTech Energy Ltd., Securities and Exchange Commission is suing SinoTech Energy Ltd. [read post]
10 Apr 2012, 11:07 am
The disclosure documents in question were filed exclusively with the United States Securities and Exchange Commission rather than any Canadian securities regulator, and the issuer is not a “reporting issuer” under the Ontario Securities Act. [read post]
13 Apr 2010, 9:00 am
SEC v. [read post]
24 Feb 2010, 12:23 pm
On February 24, 2010, a federal judge granted a motion to dismiss filed by Sidney Field and David Lampariello in the securities fraud lawsuit filed by the Securities Exchange Commission ("SEC"), SEC v. [read post]
30 Jul 2010, 3:14 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
22 May 2012, 6:26 pm
Whistleblower Rodolfo Michelon is suing the Federal Bureau of Investigation and the Securities and Exchange Commission in an effort to obtain records connected to the their probe into his employer, Sempra Energy (SRE). [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
1 Apr 2019, 9:28 am
Securities and Exchange Commission (SEC) may take a more expansive approach to the extraterritorial reach of its jurisdiction in light of the recent decision by the U.S. [read post]
23 Feb 2016, 7:36 am
The leaders of the Securities and Exchange Commission (“SEC” or “Commission”) addressed the public on February 19-20 at the annual SEC Speaks conference in Washington, D.C. [read post]
30 Apr 2015, 6:00 am
Fields, Secretary, Securities and Exchange Commission 100 F St. [read post]
2 Jan 2014, 9:15 am
RBS Securities Inc.Case number: 13-cv-01643 (United States District Court for the District of Connecticut)Case filed: November 7, 2013Qualifying judgment/order: November 25, 2013 12/20/2013 03/20/2014 2013-115 SEC v. [read post]
8 Apr 2014, 12:07 pm
On March 31, 2014, the Securities and Exchange Commission brought insider trading charges against Ching Hwa Chen, the husband of a corporate insider, alleging that he misappropriated financial information from his wife and then shorted her employer’s stock, netting $138,000 in ill gotten gains. [read post]
25 Feb 2014, 10:02 am
The leaders of the Securities and Exchange Commission addressed the public on February 21-22 at the annual SEC Speaks conference in Washington, D.C. [read post]
13 Dec 2010, 3:05 am
This unfortunate individual was indicted, tried and convicted of one count of securities fraud, seven counts of making false filings with the Securities and Exchange Commission, and seven counts of making materially false statements to the company’s auditors. [read post]
