Search for: "SEC v. Current Financial Services, Inc."
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4 May 2024, 8:31 pm
Seilkop v. [read post]
19 Apr 2024, 9:27 am
For more information on SEC v. [read post]
3 Apr 2024, 9:01 pm
And as another example, just last month, the SEC charged 17 individuals for their role in an alleged crypto Ponzi scheme that raised $300 million from more than 40,000 investors, primarily from the Latino community.[14] Several defendants allegedly solicited investors with promises of financial freedom and “risk free” crypto and foreign exchange investments.[15] As alleged in our complaint, in true Ponzi fashion, most of the funds raised were not used for any… [read post]
7 Mar 2024, 5:28 am
Corner Post, Inc. v. [read post]
4 Mar 2024, 5:56 pm
ICON Health &Fitness, Inc., 572 U.S. 545, 553 (2014), and the text of the CTA is wide-ranging inscope. [read post]
6 Feb 2024, 8:40 am
Pinto v. [read post]
30 Jan 2024, 9:02 pm
The upshot: so long as a defendant says what the SEC wants to hear (or says nothing at all), he does not violate the No-Admit-No-Deny Provision. [read post]
21 Jan 2024, 5:24 am
Raimondo and Relentless, Inc. v. [read post]
10 Jan 2024, 9:01 pm
See, e.g., SEC v. [read post]
2 Jan 2024, 12:56 pm
As the Wall Street Journal has detailed, rising vacancy rates in office buildings has stressed the commercial real estate sector, putting many landlords in a difficult spot as they continue to try to service their debt. [read post]
18 Dec 2023, 2:48 pm
On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
30 Nov 2023, 9:05 pm
Inc., 448 F. [read post]
30 Nov 2023, 12:45 pm
In United States 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]
20 Oct 2023, 2:40 pm
The Audit Rule requires RIAs to obtain annual audited financial statements for each of its fund clients. [read post]
11 Oct 2023, 11:17 am
FTC, in which the Supreme Court more recently held that a plaintiff’s structural constitutional claim was not preempted by the SEC’s administrative review scheme. [read post]
1 Aug 2023, 4:27 pm
For example, the SEC is currently formulating a regulation that would require publicly traded companies to disclose their greenhouse gas emissions and climate-related risks.[3] Until such a regulation takes effect, however, why would (or should) a company provide voluntary ESG disclosures that are not legally mandated? [read post]
26 Jul 2023, 9:01 pm
First, the Commission rejects financial materiality as the touchstone for its disclosures,[4] and fails to offer in its place a meaningful intelligible limit to its disclosure authority.[5] The release explains that Congress gave “the Commission, which regulates dynamic aspects of a market economy,” “intentionally broad” authority to require disclosures on a wide range of matters, even ones that do “not directly relate to a company’s value and… [read post]
16 Jul 2023, 9:01 pm
InCoinbase, Inc. [read post]
5 Jul 2023, 9:01 pm
That case is currently pending. [read post]
