Search for: "ME SEC OF STATE"
Results 41 - 60
of 2,841
Sorted by Relevance
|
Sort by Date
13 Jan 2015, 3:57 am
SEC – concerning SEC Commissioner Charles Cox. [read post]
5 Jan 2017, 3:28 am
Some folks asked me yesterday what was “normal” for a SEC Chair. [read post]
21 Dec 2009, 12:22 pm
It seems to me that this mistake, as small and inconsequential as it was when looked at one way, is a sign that the SEC is still as incompetent-ridden as it was before Mary Schapiro. [read post]
30 Mar 2017, 7:22 am
No remedial revisions to the company’s template severance agreement were required because the company had voluntarily, after commencement of the investigation, removed the reference to “regulators” from the non-disparagement clause and included a more common provision that stated, “In addition, nothing herein prohibits me from communicating, without notice to or approval by NeuStar, with any federal government agency about a potential violation of a federal… [read post]
25 Jul 2022, 9:01 pm
Thank you for inviting me to testify today on behalf of the Division of Enforcement (“Enforcement” or the “Division”) of the U.S. [read post]
11 Aug 2014, 3:07 pm
Hearsay is permitted, which makes it easier for the prosecution and witnesses can testify with statements like "my brother told me that his wife told him that the defendant said the stock was a scam. [read post]
11 Jun 2018, 7:07 am
He stated, “We are not going to do any violence to the traditional definition of a security, which has worked well for a long time, and I believe will continue to work well. [read post]
14 Jul 2015, 6:58 am
The SEC stated that it wanted to start reaching out to advisers soon after they register to get on top of things from the onset. [read post]
28 Nov 2011, 11:55 pm
United States v. [read post]
24 Jun 2022, 3:15 am
The SEC’s allegations that the lawyer made potentially misleading reps to the auditor about the second transaction don’t cause me a lot of heartburn, but those relating to his largely passive role in the first transaction are more troubling. [read post]
18 Jul 2010, 9:33 am
” I would regret any actions that cost me $550 million plus attorneys’ fees. [read post]
4 Feb 2010, 5:01 am
As one former Staffer emailed me: "I remember when they struggled to pass $500 million! [read post]
31 Mar 2022, 3:30 am
Commissioner Peirce once again dissented from the SEC’s decision, essentially arguing that the SEC came to bury SPACs, not to regulate them. [read post]
28 Apr 2008, 12:46 pm
Additional Violation: What Overstock.com executives stated on the earnings call may actual be a further violation of SEC rules. [read post]
30 Mar 2017, 7:22 am
No remedial revisions to the company’s template severance agreement were required because the company had voluntarily, after commencement of the investigation, removed the reference to “regulators” from the non-disparagement clause and included a more common provision that stated, “In addition, nothing herein prohibits me from communicating, without notice to or approval by NeuStar, with any federal government agency about a potential violation of a federal… [read post]
18 Apr 2012, 7:20 pm
The case is interesting to me for two reasons. [read post]
10 Aug 2009, 7:02 am
Are you asking yourself "so what's that have to do with me in the construction industry? [read post]
9 Feb 2011, 8:33 am
Our Case of the Day is SEC v. [read post]
26 Mar 2020, 7:27 am
Please feel free to contact me if you would like additional information. [read post]
9 Nov 2023, 9:01 pm
From time to time, Scott’s enforcement cases would be assigned to me. [read post]
