Search for: "In Re Szczepanik" Results 1 - 4 of 4
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SEC: Investment Adviser Boasted Phony Assets and Track Record, Stole From Client
11 Aug 2016, 2:55 pm by Mark Astarita
Szczepanik, and the case is supervised by Lara S. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Coordination, innovation key in blockchain regulation, say NASAA FinTech panelists
22 May 2018, 8:11 am by John Jascob
SEC Attorney Valerie Szczepanik said that the agency is always willing to engage with the public. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
SEC Chair Gensler Speaks on Alternative Trading Systems and the Definition of an Exchange
16 Apr 2023, 9:01 pm by renholding
” Thus, given how crypto trading platforms operate, many of them currently are exchanges, regardless of the reopening release we’re considering today. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Guest Post: The First Federal Court Hearing on SEC Jurisdiction over ICOs
10 May 2018, 3:33 pm by Kevin LaCroix
Julia Nestor for the United States and I’m here with Andrey Spektor from our office and Valerie Szczepanik from the Securities & Exchange Commission. [read post]
The D & O Diary - http://www.dandodiary.com/