Search for: "SEC v. National Securities, Inc."
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NCSLT Litigation Moratorium? – Expect confusion, inconsistent implementation, and need for follow-up
22 Sep 2017, 2:27 pm
On Sep. 18, 2017 the CFPB issued an administrative CONSENT ORDER that requires Transworld Systems, Inc. [read post]
16 Sep 2017, 10:26 am
Tenaska Energy, Inc. v. [read post]
4 Sep 2017, 2:20 pm
The likeliest explanation is that increased levels of securities suit filings reflect changes in the plaintiffs’ securities class action bar. [read post]
13 Aug 2017, 6:00 am
With all of those challenges, any reasonable observer may wonder whether the goal of securing $5 billion of new investment from PPP projects over the next two years is realistic. [read post]
12 Aug 2017, 9:10 pm
Disney had to report its payment to the Securities and Exchange Commission (SEC), so we know that much. [read post]
23 Jul 2017, 9:20 pm
Securities and Exchange Commission’s (SEC) pursuit of “disgorgement”—a type of repayment in which the defendant is required to turn over the gains obtained from violating the securities laws—is properly understood as a “penalty” within the meaning of a five-year statute of limitations on imposition of penalties by the SEC. [read post]
26 Jun 2017, 6:23 am
SEC Amicus Briefs SEC Amicus Brief in Verble v. [read post]
12 Jun 2017, 4:29 am
Tyrrell and Impression Products, Inc. v. [read post]
6 Jun 2017, 3:57 am
Securities and Exchange Commission, the court held that because SEC disgorgement operates as a penalty, the five-year statute of limitations applies to a claim for disgorgement in an SEC enforcement action. [read post]
10 May 2017, 10:20 am
Examples of her many highly regarded publications on these matters include the “Texas Payday Law” Chapter of Texas Employment Law, as well as thousands of other publications, programs and workshops these and other concerns for the American Bar Association, ALI-ABA, American Health Lawyers, Society of Human Resources Professionals, the Southwest Benefits Association, the Society of Employee Benefits Administrators, the American Law Institute, Lexis-Nexis, Atlantic Information… [read post]
26 Apr 2017, 4:08 pm
See National Cable & Telecommunications Association v. [read post]
25 Apr 2017, 3:21 pm
See, Businesses Must Confirm & Clean Up Health Plan ACA & Other Compliance Following Supreme Court’s King v. [read post]
29 Mar 2017, 3:49 am
Supreme Court granted certiorari in Leidos, Inc. v. [read post]
27 Mar 2017, 3:09 pm
The Court’s grant of the writ of certiorari in the case of Leidos, Inc. v. [read post]
24 Mar 2017, 7:24 am
Bank National Association v. [read post]
23 Mar 2017, 11:20 am
Leidos, Inc. v. [read post]
14 Mar 2017, 4:27 am
Securities and Exchange Commission, in which the court will decide whether that the five-year statute of limitations on SEC enforcement actions applies to actions seeking disgorgement, arguing that “prior precedent, along with the historical practice, strongly suggests that the SEC is trying to circumvent the statute by essentially calling a dog a cat. [read post]
1 Mar 2017, 5:00 am
National security exchanges are self-regulatory organizations (“SRO”) subject to the Securities and Exchange Commission’s (“SEC”) approval and oversight. [read post]
24 Feb 2017, 5:00 am
Defendants, national Securities Exchanges (the “Exchanges”), provide information about securities traded on the Exchanges to an exclusive securities processor (“Processor”) pursuant to Regulation National Market System (”Reg NMS”). [read post]
17 Feb 2017, 12:21 pm
ANZ Securities, Inc. [read post]
