Search for: "Jeffrey S. Penny" Results 1 - 20 of 99
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Early Edition: April 10, 2024
10 Apr 2024, 5:02 am by Beatrice Yahia
Jack Jeffrey reports for AP News. [read post]
Just Security - https://www.justsecurity.org/
A Way Forward for the SEC and Crypto: The SEC’s History of Tailoring Regulatory Frameworks for Nontraditional Securities
12 Mar 2024, 3:36 am by Jeffrey T. Dinwoodie
  Jeffrey T. [read post]
Notice & Comment - https://www.yalejreg.com/nc/
SEC charges Morgan Stanley and former exec with fraud in block trading and MS to pay $249 Million
12 Jan 2024, 8:56 am by jeffreynewmanadmin
The SEC’s order concerning Passi finds that he willfully violated Section 10(b) of the Exchange Act and Rule 10b-5 thereunder, orders him to pay a $250,000 civil penalty, and imposes associational, penny stock, and supervisory bars. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC imposed over $5 Billion in financial fines and more than $600 million in whistleblower rewards
15 Nov 2023, 6:26 am by jeffreynewmanadmin
As today’s results make clear, that’s precisely what the Enforcement Division did in fiscal year 2023,” said Gurbir S. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
XTO Energy pays $16 million to settle has royalty underpayments to the U.S. from federal and Native American lands
13 Nov 2023, 11:11 am by jeffreynewmanadmin
JEFFREY NEWMAN IS A WHISTLEBLOWER LAWYER. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Jeffrey P. Gale, P.A. // Sovereign Immunity (“The King can do no wrong”) Harms We the People
14 Oct 2023, 9:29 am by Jeffrey P. Gale, P.A.
Jeffrey P. [read post]
Florida Injury Attorney Blawg - http://www.floridainjuryattorneyblawg.com/
SEC charges Archipelago Trading Services with failing to file suspicious activity reports and it will pay $1.5 million to settle
29 Aug 2023, 7:58 am by jeffreynewmanadmin
As a result, the SEC’s order found, ATSI failed to file at least 461 SARs, most of which involved microcap or penny stock securities. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Is your bank’s money insured by the FDIC? The answer may surprise you
10 Aug 2023, 8:10 am by jeffreynewmanadmin
Meanwhile, Kudo’s to the Wall Street Journal. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Antitrust Matters Episode 10: Private Equity & Antitrust – A New Approach?
22 Dec 2022, 6:52 am by Dan Lopez
Jeffrey Shinder: Okay. [read post]
Antitrust Today - https://constantinecannon.com/practice/antitrust-litigation-counseling/antitrust-today/
Forthcoming SEC Regulation Targets Payment for Order Flow
3 Aug 2022, 12:07 pm by Race to the Bottom
(Jeffrey Green, The Balance). [read post]
The Race to the Bottom - https://www.theracetothebottom.org/rttb
Guest Post: An Investor Roadmap: The Jurisdictional Differences and Impact of ESG in European Shareholder Class Actions
18 Jul 2022, 2:46 pm by Kevin LaCroix
 The ISS SCAS authors are Jeffrey Lubitz, Managing Director, and Elisa Mendoza, Esq., Associate Director. [read post]
The D & O Diary - http://www.dandodiary.com/
SEC charges Allianz Global and three former portfolio managers with massive fraud scheme of hiding risk and losses. Allianz agrees to pay $1 billion to settle and $5 billion in restitution to victims
17 May 2022, 12:30 pm by jeffreynewmanadmin
Taylor and Bond-Nelson also agreed to associational and penny stock bars. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC uncovers $194 Million penny stock schemes spanning nine countries charging 14 persons and various companies.
18 Apr 2022, 10:31 am by jeffreynewmanadmin
Complaint one https://www.sec.gov/files/litigation/complaints/comp-pr2022-61-shah.pdf It is unclear from the Complaint or the SEC’s release how the agency found out about the scheme. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
SEC signals strong scrutiny of reverse mergers to Delaware Chancery
16 Nov 2021, 6:08 am by John Jascob
The SEC’s letter was signed by Jeffrey A. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Jeffrey P. Gale, P.A. // Health and Disability Insurance Reimbursement Rights in Florida Personal Injury Cases
22 Aug 2021, 2:00 pm by Jeffrey P. Gale, P.A.
Jeffrey P. [read post]
Florida Injury Attorney Blawg - http://www.floridainjuryattorneyblawg.com/
Broker Jeffrey Leach Subject to Unsuitable Investment Recommendations and Misrepresentation Allegations
22 Mar 2021, 1:22 am by Alan Rosca
Contact us[contact-form-7] Securities Lawyer Investigating Potential Options on Behalf of Jeffrey Leach Investors The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to Jeffrey Harold Leach’s pending customer dispute on the allegations of unsuitability of investments recommendation and Misrepresentation among others. [read post]
Investor Lawyers News - https://investorlawyers.org/
Broker Jeffrey Leach Subject to Unsuitable Investment Recommendations and Misrepresentation Allegations
22 Mar 2021, 1:22 am by Alan Rosca
Contact us[contact-form-7] Securities Lawyer Investigating Potential Options on Behalf of Jeffrey Leach Investors The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to Jeffrey Harold Leach’s pending customer dispute on the allegations of unsuitability of investments recommendation and Misrepresentation among others. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
Broker Joseph Michaletz Investor Alert: Multiple Customers Seek Compensation
16 Feb 2021, 1:30 pm by Alan Rosca
The Statement of Claim reportedly seeks unspecified damages, while the customer’s investments amount to $175,000. [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
Broker Joseph Michaletz Investor Alert: Multiple Customers Seek Compensation
16 Feb 2021, 1:30 pm by Alan Rosca
The Statement of Claim reportedly seeks unspecified damages, while the customer’s investments amount to $175,000. [read post]
Investor Lawyers News - https://investorlawyers.org/
Jeffrey Max Cohen Subject of Unsuitable Investment Recommendations Disputes
12 Feb 2021, 10:37 am by Alan Rosca
Contact us[contact-form-7] Securities Lawyer Investigating Potential Options on Behalf of Jeffrey Cohen Customers   The Goldman Scarlato & Penny PC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating conduct related to broker Jeffrey Max Cohen’s customer disputes on the allegation of unsuitable investment recommendation. [read post]
Investor Lawyers News - https://investorlawyers.org/