Search for: "Herring v. Securities and Exchange Commission of U. S"
Results 1 - 20
of 32
Sorted by Relevance
|
Sort by Date
23 Feb 2018, 12:00 am
Sarbanes-Oxley applies to all "employees" who report misconduct to the Securities and Exchange Commission [SEC], any other federal agency, Congress, or an internal supervisor [see 18 U. [read post]
3 Nov 2009, 3:41 am
They also alleged that Vinar was negligent in failing to seek reformation of the National Association of Securities Dealers, Inc., Form U-5 (hereinafter the U-5), provided by the plaintiff's employer to remove an allegedly false or defamatory statement contained therein regarding the reason for the termination of her employment. [read post]
12 Jan 2018, 11:50 am
Magistrate Judge in the Southern District of Florida held that providing “oral downloads” of otherwise-privileged witness interview notes and memoranda to the Securities and Exchange Commission effectively waived privilege. [read post]
30 Jan 2024, 9:02 pm
”[6] The net result is that the settling defendant, for the action to stay settled, must agree both to rescind her past in-court statements contesting the truth of the Commission’s allegations and promise never again to contest the truth of the Commission’s allegations herself, or even permit others to contest the allegations. [read post]
30 Dec 2011, 1:23 pm
In the ARB’s final SOX decision for 2011, Charles v. [read post]
8 Mar 2018, 7:57 am
Securities and Exchange Commission, 17-130, the government persuaded the court that the petitioners in Scott had “failed to raise an Appointments Clause challenge either before the [agency] or before the court of appeals, and neither of those bodies addressed the issue. [read post]
14 Dec 2019, 1:55 am
They examine the differences between the Securities and Exchange Commission [SEC] in America, which is Federal, and the Ontario Securities Commission [OSC] which is provincial. [read post]
20 Nov 2017, 7:43 am
In October 2007, due to a pending Securities and Exchange Commission insider trading investigation, the husband resigned. [read post]
20 Nov 2017, 7:43 am
In October 2007, due to a pending Securities and Exchange Commission insider trading investigation, the husband resigned. [read post]
23 Sep 2010, 9:58 am
" for withdrawing Public Company Accounting Oversight Board members and instead vests that authority with Commissioners of the Securities and Exchange Commission. [read post]
24 Aug 2012, 12:30 am
Top stories today via @thefalken # State Privacy Laws Evolve While Congress Remains Stalemated http://t.co/J2ON9JZA # SBCSC computer glitch may have caused security breach http://t.co/suEWfcQI # Facebook caused wife to stab her husband – U.S. v. [read post]
24 Mar 2017, 7:24 am
Courts of Appeals for the 3rd and 9th Circuits – that Item 303 of Securities and Exchange Commission Regulation S-K creates a duty to disclose that is actionable under Section 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. [read post]
12 Jun 2018, 7:15 am
Securities and Exchange Commission, 17-1077 Issue: Whether a misstatement claim that does not meet the elements set forth in Janus Capital Group, Inc. v. [read post]
13 Jul 2021, 3:00 am
California Coastal Commission, 483 U.S. 825 (1987) and Dolan v. [read post]
24 May 2023, 6:37 am
Part of Just Security’s work on accountability and election law. [read post]
23 Jul 2018, 11:50 am
The Supreme Court’s recent decision in Lucia v. [read post]
5 Jun 2022, 4:26 pm
Former Labour MP Kristina Keneally’s has been forced to restore her social media accounts despite her vow to move offline as she leaves political life to ensure her apology for “false and defamatory” material remains available. [read post]
30 Mar 2007, 1:10 am
Securities and Exchange Commission filed a civil complaint on Wednesday that alleges two former in-house lawyers at Houston-based Enron Corp. violated federal securities laws by misrepresenting and omitting material information from Enron's public securities filings. [read post]
9 Nov 2010, 9:18 pm
This time Khast was told that the Federal Trade Commission had issued a cease and desist order against WAMU and that defendant JPMorgan Chase Bank (“JPM Chase”) had assumed all of WAMU’s assets and liabilities. [read post]
13 Jun 2018, 9:39 am
Securities and Exchange Commission 17-1077 Issue: Whether a misstatement claim that does not meet the elements set forth in Janus Capital Group, Inc. v. [read post]
