Search for: "Phillips v. Securities and Exchange Commission"
Results 1 - 20
of 68
Sorted by Relevance
|
Sort by Date
20 Jul 2023, 4:30 am
To pick a pressing example, both are implicated by the combined efforts of some who argue that the judiciary should apply the major questions doctrine to the Securities and Exchange Commission’s efforts to claim jurisdiction over crypto assets. [read post]
3 May 2022, 6:32 am
Securities and Exchange Commission, submitted on behalf of Mr. [read post]
3 May 2022, 6:32 am
Securities and Exchange Commission, submitted on behalf of Mr. [read post]
5 May 2022, 12:15 am
Securities and Exchange Commission, S. [read post]
1 Mar 2013, 11:56 am
In an Account of Phillip Securities PTE LTD., and Certain Unknown Traders in the Securities of Nexen, Inc. in an Account of Citibank NA A/C HK 4Case number: 12-cv-5786 (United States District Court for the Southern District of New York)Case filed: July 27, 2012Qualifying Judgment/Order: November 7, 2012 12/7/2012 3/7/2013 2012-129 SEC v. [read post]
30 Mar 2024, 5:14 am
Like the EPA in Sarinsky’s piece, agencies should follow the good example of the Securities and Exchange Commission in SEC v. [read post]
23 Sep 2013, 12:50 pm
Phillip J. [read post]
23 Apr 2013, 6:28 am
Gonne or Phillip K. [read post]
15 Aug 2014, 10:37 am
Phillip Powers acted as an escrow agent without registering as a broker-dealer. [read post]
24 Feb 2020, 6:02 am
The ability of the Securities and Exchange Commission (SEC) to prosecute enforcement actions selectively through its own administrative proceedings is under constitutional attack in cases pending in the Fifth and Ninth Federal Judicial Circuits. [read post]
10 Jul 2011, 2:02 pm
Phillip Tillet v The Queen (Belize), heard 9 June 2011. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
4 Apr 2013, 9:00 am
Kaplan Shannon Rose Selden Each fund manager is designated with a risk rating by the Securities and Exchange Commission. [read post]
9 Jan 2015, 5:00 am
Majority of RIAs should move under state regulation: Study by Mark Schoeff Jr. in InvestmentNews Shifting oversight of more registered investment advisers from the Securities and Exchange Commission to states would increase exam coverage at less cost than establishing third-party reviewers, a new report asserts. [read post]
10 Jul 2007, 8:08 am
Makor Issues & Rights, most legal observers concluded that the justices took a balanced approach because they did not erect a higher barrier to investor plaintiffs, as industry groups and the Securities and Exchange Commission had asked the court to do. [read post]
24 Mar 2017, 10:16 am
This verdict from New Mexico, affirmed on appeal by the 10th Circuit, awarded the Securities and Exchange Commission (“SEC”) a disgorgement award of $34.9 million, plus $18.1 million in prejudgment interest, and a penalty of $2.4 million for Charles R. [read post]
21 Oct 2014, 6:03 am
As the Financial Industry Regulatory Authority (FINRA) and the Securities Exchange Commission (SEC) have recently noted, these products may not be as safe and stabile as advertised. [read post]
17 Jan 2019, 7:10 am
Digital Realty Trust, Inc. v. [read post]
24 Feb 2018, 5:57 am
Phillip Carter highlighted three important questions for civil-military relations under and after the Trump administration. [read post]
13 Jan 2012, 1:00 am
She was killed during an exchange of fire between two gunmen, ‘B’ (also known as Bandana Man), and Mr Gnango. [read post]
