Search for: "Public Investors Arbitration v. SEC"
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3 Nov 2014, 3:55 am
” The essay is the written form of testimony Coffee provided at an October 9, 2014 SEC Investor Advisory Committee. [read post]
24 Nov 2015, 1:21 pm
So as long as you offer it to an accredited investor and you offer it to a certain number and you don’t advertise at a certain way, you can offer this private placement without having to go through the rigors of an SEC registration like a public company would. [read post]
14 Jun 2015, 4:56 pm
The D&O Diary’s regular publication schedule should resume by the end of next week. [read post]
11 Jun 2010, 3:46 pm
PCAOB (08-861) Argued: Dec. 7, 2009 Issue: Whether the Sarbanes-Oxley Act is consistent with separation-of-powers principles – as the Public Company Accounting Oversight Board is overseen by the SEC, which is in turn overseen by the President – or contrary to the Appointments Clause of the Constitution, as the PCAOB members are appointed by the SEC. [read post]
15 Jan 2019, 11:40 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
17 Sep 2015, 1:27 pm
Dax White is the managing partner of the White Law Group, a national securities, fraud securities, arbitration, and investor protection law firm. [read post]
29 May 2010, 4:27 pm
We frequently handle litigation, arbitration and other legal disputes for Illinois businesses and investors. [read post]
29 Apr 2010, 11:17 am
Sec. 1341 and 1346), the government must prove that the defendant violated a disclosure duty imposed by state law. [read post]
9 Apr 2015, 4:23 am
How about forcing arbitration? [read post]
4 Mar 2019, 8:02 pm
“Cuba continues to maintain close relations to Russia and China and has destabilized Venezuela, leading to mass flows of refugees and of course public health threats,” the official said.Trump aides have regularly denounced Cuba for what they say is political and security assistance helping Maduro to keep his grip on power since opposition leader Juan Guaido invoked the Venezuelan constitution in January and swore himself in as interim president.Washington and [read post]
28 Jul 2022, 9:05 pm
This post provides an overview of shareholder proposals submitted to public companies during the 2022 proxy season,[1] including statistics and notable decisions from the staff (the “Staff”) of the Securities and Exchange Commission (the “SEC”) on no-action requests.[2] I. [read post]
2 Jan 2018, 5:08 pm
While the number of securities suit filings during the year is noteworthy, the more important story is the rate of litigation – that is, the number of securities suit filings relative to the number of public companies. [read post]
3 Sep 2014, 4:14 am
Second, as discussed here, in Public Employees’ Retirement System of Mississippi, v. [read post]
1 Feb 2019, 10:51 am
Admissions in SEC enforcement cases: the revolution that wasn’t. [read post]
3 May 2016, 5:08 pm
The threat of category (7), on the other hand, is more theoretical than real at this point because, to date, corporate stock prices generally have not reacted negatively to public disclosure of a hack.[2] As a result, we have not yet seen any significant cyber-breach “stock drop” cases. [read post]
8 Sep 2015, 5:08 pm
First, in a July 8, 2015 decision in Acevedo v. [read post]
13 Sep 2009, 7:24 pm
Sec. [read post]
20 Aug 2011, 4:00 am
http://j.st/S3P Sec'y of Labor v. [read post]
14 Mar 2016, 2:56 am
Upon discovery of the Laursen’s theft, two of Laursen’s clients filed a FINRA arbitration action against Laursen, Hantz and Laursen’s supervisor. [read post]
11 Jul 2013, 6:19 pm
In this sense, as a government independent of investors, but operating to further investors’ interests, corporations resemble other institutions formed by communal aggregations—such as religious institutions and even states[10]—in their character though, of course, with a more limited scope.[11] As an entity, for example, corporations may acquire political rights under domestic law[12] and at least some measure of responsibility under international law.[13] A… [read post]
