Search for: "In Re Securities and Exchange Commission"
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2 Aug 2022, 9:09 am
Securities and Exchange Commission Gurbir S. [read post]
12 Jan 2009, 7:55 am
The staff of the Securities and Exchange Commission has ruled that SunTrust Banks may omit a labor proposal that seeks stricter executive pay limits than imposed by the federal Troubled Asset Relief Program (TARP). [read post]
14 Feb 2013, 6:21 am
At the beginning of the first Obama administration, the United States Securities and Exchange Commission (SEC or the Commission) was an agency on the ropes, with some knowledgeable observers even speculating that it might not survive the revision to the financial regulatory apparatus that was anticipated in the wake of the financial crisis. [read post]
20 Apr 2020, 12:19 pm
There are also related security and privacy risks. [read post]
12 Jan 2007, 2:35 pm
When we saw this week that the Securities and Exchange Commission had settled its case against William Sorin, the former general counsel of Mass. [read post]
23 Nov 2021, 3:15 am
This excerpt from the SEC’s press release summarizes the proceeding: The Securities and Exchange Commission today announced that Texas-based oilfield services company ProPetro Holding Corp. and its founder and former CEO Dale Redman have agreed to settle charges that they failed to properly disclose some of Redman’s executive perks and two stock pledges. [read post]
10 Feb 2022, 6:21 am
Securities and Exchange Commission. [read post]
18 Jan 2021, 6:46 am
The Securities and Exchange Commission’s (SEC) Office of Investor Education and Advocacy is urging investors to be on high alert to avoid falling victim to investment fraud. [read post]
26 Apr 2022, 12:23 pm
These debt securities were re-named “L Bonds” in January 2015, according to a June 3, 2020 prospectus. [read post]
10 Nov 2017, 1:27 pm
A May 1983 National Law Journal story said O’Hanley plagiarized parts of an article on the legal protection known as double jeopardy written by an attorney who had attended Vanderbilt as an undergraduate.(...)In a 2006 speech at Vanderbilt, one of O’Hanley’s classmates, Paul Atkins — a commissioner with the Securities and Exchange Commission at the time — cited the matter without naming O’Hanley. [read post]
30 Jan 2023, 9:41 am
One tactic was to suggest to the customer that he sell a specific security, then re-buy it several days or weeks later. [read post]
Did You Invest In PAR Funding Through Retirement Evolution Group, LLC Or Its principal, John Gissas?
5 Aug 2020, 3:23 pm
On July 24, 2020, the Securities and Exchange Commission (“SEC”), brought an emergency action against a number of individuals and entities, including but not limited to John Gissas and his central-Florida based company, Retirement Evolution Group, LLC, for their roles in an alleged half billion dollar fraud scheme. [read post]
3 Dec 2020, 3:40 am
(See our previous blog here for a summary of the Commission’s European Strategy for Data.) [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
10 Feb 2016, 6:05 am
Securities and Exchange Commission. [read post]
25 Sep 2012, 10:08 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
30 Mar 2010, 10:34 am
FINRA became the largest independent regulator for all securities firms doing business in the United States, and is responsible for overseeing brokerage firms, their branch offices and registered securities representatives.Under the Securities Exchange Commission’s authority FINRA promulgates rules of its own as a self regulatory organization (“SRO”). [read post]
7 Mar 2013, 9:45 am
§ 78j(b), and Securities & Exchange Commission Rule 10b-5, 17 C.F.R. [read post]
25 Jan 2011, 9:41 am
The Securities and Exchange Commission was very busy today in their latest work implementing the Dodd-Frank bill. [read post]
24 May 2007, 8:31 am
As stated by Cohen: In well publicized run-ins with the Securities and Exchange Commission and the former Attorney General of New York, Maurice "Hank" Greenberg became an avatar of the corporate movement to overturn Sarbanes-Oxley and to promote so-called tort reform. [read post]
