Search for: "SEC v. Current Financial Services, Inc."
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23 Apr 2011, 5:00 am
In SEC v. [read post]
11 Sep 2017, 9:18 am
LUCINDA VINE; KRISTY POND, Plaintiffs-Appellees,v.PLS FINANCIAL SERVICES, INCORPORATED; PLS LOAN STORE OF TEXAS, INCORPORATED, Defendants-Appellants.No. 16-50847.United States Court of Appeals, Fifth Circuit.Filed May 19, 2017.Appeals from the United States District Court for the Western District of Texas, USDC No. 3:16-CV-31.Before: BARKSDALE, GRAVES, and HIGGINSON, Circuit Judges.PER CURIAM.[*]Appellants PLS Financial Services, Inc., and PLS Loan… [read post]
1 Nov 2022, 8:38 am
Even the Chamber of Digital Commerce notes in its amicus brief for SEC v. [read post]
20 Sep 2018, 12:46 pm
Ottimo subsequently appealed to the SEC, who sustained FINRA’s findings with respect to Ottimo’s Form U4 violations.Ottimo became registered with EKN Financial Services Inc. on March 9, 2009. [read post]
12 Mar 2015, 3:23 am
SEC, currently pending in the DC Circuit. [read post]
25 Feb 2014, 10:02 am
” Brenner added that this provision could thus “fill a gap” caused by the Supreme Court’s decision in Janus Capital Inc. v. [read post]
20 Mar 2020, 3:19 pm
In Next Financial Group, Inc. v. [read post]
28 Dec 2020, 7:45 am
The defendants also allegedly distributed billions of XRP in exchange for non-cash consideration, including labor and market-making services (SEC v. [read post]
26 May 2012, 7:05 pm
Financial Regulators, House.gov, May 17, 2012 Courts Must Reject Settlement Pacts Where Necessary, Former, Current Judges Say, Bloomberg BNA, May 15, 2012 SEC v. [read post]
5 May 2017, 8:19 am
Facts: This case (UBS FINANCIAL SERVICES, INC. v. [read post]
5 May 2017, 8:19 am
Facts: This case (UBS FINANCIAL SERVICES, INC. v. [read post]
8 Sep 2022, 9:01 pm
Joseph Kennedy, the first Chairman of the SEC, had a saying: “No honest business need fear the SEC. [read post]
9 May 2017, 11:41 am
Inc. v. [read post]
9 Nov 2023, 9:01 pm
For individuals, the compliance costs could be disproportionately large relative to their financial activity. [read post]
30 Nov 2023, 9:05 pm
Inc., 448 F. [read post]
25 Jan 2011, 9:27 am
Whois Privacy Protection Service, Inc., 1:11-cv-10026-RGS (D. [read post]
23 Feb 2016, 7:36 am
Inc., Admin. [read post]
18 Jul 2009, 7:31 am
The Backdrop The events of 2008 led directly to the current enforcement agenda. [read post]
3 Oct 2010, 5:00 am
Janus Capital Group, Inc. v. [read post]
13 Jul 2020, 9:36 am
June 22, 2020). [7] See, e.g., FTC, Fiscal Year 2019 Agency Financial Report at 89. [8] Id. [read post]
