Search for: "Gary Settle"
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23 Jan 2023, 11:23 am
Nexo settled the SEC’s charges without admitting or denying the agency’s findings (In the Matter of Nexo Capital Inc., Release No. 33-11149, January 19, 2023).SEC Chair Gary Gensler remarked on the settlement via press release. [read post]
21 Sep 2014, 10:36 pm
The government also disclosed that it had previously settled with physicians and their spouses: The United States previously settled with five couples that allegedly accepted payments from A Plus: Steven and Fortuna Hornreich, Mark and Meredith Rogovin, Sam and Christy Sareh, Gary and Stacy Wolfson, and Keifer Wyble and Nuria Rodriguez [read post]
2 Oct 2007, 6:25 am
Morgan, Gary Morgan, who had resided in a rent-stabilized apartment for some 28 years, settled a nonpayment case by consenting to a money judgment in the amount of $504 together with a judgment of possession in the event the monies weren’t paid by a date certain.The agreement required BNS to make certain repairs to the apartment, but a dispute arose regarding those repairs, and a series of court appearances ensued. [read post]
2 Dec 2011, 9:54 am
Omni's former chief compliance officer, Gary R. [read post]
24 May 2016, 5:18 am
The town and surrounding area, settled by German Russian immigrants in the early 20th... [read post]
14 Aug 2023, 4:58 am
Shihara was charged with controlling person violations.In a press release at the time the SEC’s civil charges were announced, SEC Chair Gary Gensler suggested that federal securities laws are reasonably clear and that the main problem with crypto markets is noncompliance. [read post]
22 Nov 2009, 9:47 am
Gary Wills suggests that Barack Obama settle for a one-term presidency and make it something to be proud of *--i.e., by ending a couple of nasty and persistent wars. [read post]
7 Dec 2009, 5:43 am
"So whats the problem, Gary" you may ask. [read post]
7 Dec 2009, 5:43 am
"So whats the problem, Gary" you may ask. [read post]
23 Oct 2008, 1:08 pm
"This is a matter of great public importance," Sendak said, "and it needs to be settled quickly. [read post]
10 Sep 2021, 1:27 pm
SEC Permanently Bars Frivolous Claimant from Whistleblower Program(BrokeAndBroker.com Blog)Testimony Before the United States Senate Committee on Banking, Housing, and Urban Affairs by SEC Chair Gary GenslerSEC Charges App Annie and its Founder with Securities Fraud / Company Will Pay $10 Million to Settle First Enforcement Action Against Alternative Data Provider (SEC Release)SEC Charges Three Media Companies with Illegal Offerings of Stock and Digital Assets / Companies to Pay… [read post]
24 Jan 2022, 2:27 am
Matthew Connolly and Gavin Campbell Black, Defendants-Appellants-Cross-Appellees (United States Court of Appeals for the Second Circuit, 19-CR-3806 / January 27, 2022)SEC Obtains Final Judgment Against Canadian Man Charged with Conducting Fraudulent Trading Scheme (SEC Release)SEC Settles Case Against Gary Pryor and Two Arizona-Based Financial Technology Companies (SEC Release)SEC Charges Tennessee Resident with Fraudulent Misuse of Investor Funds (SEC Release)Ex-UBS broker spent a… [read post]
23 Apr 2018, 7:20 pm
Sylvester (the black-and-white) and Gary (with stripes) have never been able to resist what I call the "crack sweater," because they respond to it so strongly. [read post]
6 Sep 2022, 4:06 am
GUEST BLOG: [In]Securities: Trading Cards as a Meditation: Are NFTs by Aegis Frumento Esq (BrokeAndBroker.com Blog)A Lack of Finality: The Trevor Saliba Saga at FINRA and the SEC (BrokeAndBroker.com Blog)FINRA board member's firm settles cases without disclosure of conflicts (Financial Planning by Tobias Salinger)EmpiresX Head Trader Pleads Guilty to Global Cryptocurrency Investment Fraud Scheme that Amassed Approximately $100 Million from Investors (DOJ Release)Manhattan Woman Who… [read post]
6 Apr 2017, 8:36 am
The $900,000 settlement was preliminarily approved by Gary R. [read post]
24 Mar 2024, 10:00 pm
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers— Delphia (USA) Inc. and Global Predictions Inc. [read post]
24 Mar 2024, 10:00 pm
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers— Delphia (USA) Inc. and Global Predictions Inc. [read post]
24 Mar 2024, 10:00 pm
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers— Delphia (USA) Inc. and Global Predictions Inc. [read post]
24 Mar 2024, 10:00 pm
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers— Delphia (USA) Inc. and Global Predictions Inc. [read post]
24 Mar 2024, 10:00 pm
On March 18, the US Securities and Exchange Commission (SEC) announced the first AI-related settled actions against two investment advisers— Delphia (USA) Inc. and Global Predictions Inc. [read post]
