Search for: "In Re Securities and Exchange Commission" Results 141 - 160 of 2,779
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24 Jan 2009, 5:10 am
The Wall Street Journal is reporting that the Securities and Exchange Commission has launched an investigation of Duke Trustees chairman Bob Steel.Over the summer, struggling Wachovia Bank had named Steel as its CEO--preposterously citing his ability to lead institutions in a "time of turmoil" as a criterion for the selection. [read post]
27 Jun 2018, 6:05 am by Doug Cornelius
Securities and Exchange Commission, it’s clear that administrative law judges of the US Securities and Exchange Commission are not mere federal employees but qualify as “Officers of the United States” under the Appointments Clause of the US Constitution. [read post]
28 Aug 2008, 4:24 am
Notably, in Forest's August 8, 2008 filing with the federal Securities and Exchange Commission, the company disclosed that the only lawsuits currently pending against it other than the securities case are the cases pending in the suicidality MDL, In re Celexa and Lexapro Products Liab. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
23 Sep 2014, 4:53 am
 In the past, folks have pretended to be from the Securities and Exchange Commission, the Federal Bureau of Investigation, the Internet Crime Complaint Center ("IC3"), and now we're hearing about the Internal Revenue Service. [read post]
11 Oct 2023, 9:00 am
As featured in #WorkforceWednesday: This week, we’re focusing on three recent Securities and Exchange Commission (SEC) charges against employers for violating whistleblower protection laws and how all employers should take extra steps to ensure compliance in their separation agreements: Recent charges issued by the SEC represent a dramatic change in the enforcement of whistleblower protections. [read post]
28 Feb 2023, 3:00 pm by Anne Idsal Austin and Jillian Marullo
by Anne Idsal Austin and Jillian Marullo In a “groundbreaking” complaint, environmental NGO Global Witness asked the Securities and Exchange Commission (SEC) Climate and ESG Task Force to investigate oil major Shell for possible violations of federal securities laws. [read post]
31 May 2016, 10:12 am by Rachel Freyman
Securities and Exchange Commission (SEC), companies are often left in the dark with regard to whether and/or when they should publicly disclose that they are under investigation. [read post]
2 Oct 2008, 1:41 pm
Securities and Exchange Commission's proxy proposal rule allows shareholders to recommend amendments to a company's articles of incorporation. [read post]
16 Dec 2022, 12:16 pm by Steve Bainbridge
The Securities and Exchange Commission proposes 1,656 pages of regulation that would re-engineer the equities market in the name of fixing a nonexistent problem. https://t.co/GXKBfB5yl3 via @WSJ— Steve Bainbridge (@PrawfBainbridge) December 16, 2022 "An SEC Inspector General report recently warned that @GaryGensler's move-fast-and-break-things agenda is overwhelming staff and diverting resources from investor protection. [read post]
3 May 2023, 11:54 am by Guest Author
Last week, Coinbase launched its first counteroffensive against the Securities Exchange Commission’s (“SEC”) aggressive enforcement posturing in the cryptoeconomy. [read post]
17 Jun 2014, 9:26 am by Mary Jane Wilmoth
The Securities and Exchange Commission announced its first settlement of a Whistleblower Retaliation case under the new anti-retaliation authority granted by the 2010 financial overhaul law. [read post]
5 Apr 2010, 12:17 am by Sam E. Antar
The SEC must get Patrick Byrne sober Updated at 9:42 PM Eastern To Mary Schapiro (Chairperson of the Securities and Exchange Commission): I respectfully recommend that the Securities and Exchange Commission bring an enforcement action against Overstock.com (NASDAQ: OSTK) for violations of securities laws and retaliation against its critics. [read post]
27 Jan 2023, 11:38 am by The White Law Group
The SEC is Reportedly Investigating Registered Investment Advisors (RIAs) re Rules for Crypto-assset Custody  The Securities and Exchange Commission (SEC) is reportedly examining the activities of registered investment advisers over whether they’re following applicable guidelines around the custody of customer digital assets, according to an article by Reuters. [read post]