Search for: "SEC v. National Securities, Inc."
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24 Aug 2018, 4:32 am
SEC,] that faulted the appointment process for those judges. [read post]
17 Aug 2018, 6:16 am
National Australia, Section 10(b), Securities fraud, Securities litigation, U.S. federal courts Proposed Amendments to SEC’s Whistleblower Program Posted by Angela Burgess, Kyoko Takahashi Lin, and Linda Chatman Thomsen, Davis Polk & Wardwell LLP, on Monday, August 13, 2018 Tags: Accountability, Dodd-Frank Act, Oversight, SEC, SEC enforcement, SEC… [read post]
26 Jul 2018, 11:55 am
Court of Appeals for the District of Columbia Circuit is the nation’s pre-eminent administrative law court and arguably “the second most important court” overall, after the Supreme Court. [read post]
13 Jul 2018, 6:19 am
Securities Laws Posted by Robert Crea, Anthony Nolan, Eden Rohrer, K&L Gates LLP, on Saturday, July 7, 2018 Tags: Bitcoin, Blockchain, CFTC, Cryptocurrency, ICOs, Jurisdiction, No-action letters, Rule 506, SEC, SEC investigations, Securities regulation SLB 14I: Impact of Board Discussion on 2018 NALs Posted by Arthur H. [read post]
13 Jul 2018, 4:56 am
In Arlene’s Flowers, Inc. v. [read post]
10 Jul 2018, 3:57 am
Enforcement SEC Takes Civil Actions Against Fraudulent ICO On April 2, 2018, the SEC filed a complaint in the United States District Court for the Southern District of New York against Centra Tech., Inc. [read post]
29 Jun 2018, 6:04 am
Tørsløv and Ludvig S. [read post]
28 Jun 2018, 5:32 am
(FINRA National Adjudicatory Council Decision, Complaint No. 2009017440201 / March 15, 2017)https://www.finra.org/sites/default/files/NAC_2009017440201_Ottimo%2C_031517_0.pdfAs set forth in the preamble of the SEC Opinion:Louis Ottimo, a former registered representative with EKN Financial Services Inc. (“EKN”), a former FINRA member firm, seeks review of a FINRA disciplinary action finding that he fraudulently omitted information from his biography in a… [read post]
22 Jun 2018, 11:54 am
Visit our Events Calendar to learn about upcoming national security events, and check out relevant job openings on our Job Board. [read post]
21 Jun 2018, 9:30 pm
Supreme Court ruling in Texas Dept. of Housing and Community Affairs v. [read post]
21 Jun 2018, 3:20 pm
The fact that he has the assignment is practically enough to conclude that the physical-presence rule from 1967’s National Bellas Hess, Inc. v. [read post]
21 Jun 2018, 7:58 am
North Dakota and National Bellas Hess Inc v. [read post]
1 May 2018, 4:14 am
” At Arbitration Nation, Liz Kramer observes that when the court rules in the third new case, Lamps Plus Inc. v. [read post]
23 Apr 2018, 1:20 am
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
16 Apr 2018, 4:48 pm
In the seminal prime bank case SEC v. [read post]
12 Apr 2018, 7:01 pm
The Labor Department also says employee misclassification also generates substantial losses to state and federal treasuries, and to the Social Security and Medicare funds, as well as to state unemployment insurance and workers compensation funds. [read post]
5 Apr 2018, 7:55 pm
Foster v National Collegiate Student Loan Trust 2007-4. [read post]
5 Apr 2018, 8:24 am
Similar to the SEC, the Financial Industry Regulatory Authority, Inc. [read post]
29 Mar 2018, 7:03 am
Only "Public Corporations" Can Enforce Shareholder Rights Plans In North Carolina In a decision last week by the NC Business Court, First Citizens Bancshares, Inc. v. [read post]
