Search for: "SEC v. National Securities, Inc." Results 361 - 380 of 492
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28 Oct 2011, 5:00 am by Doug Cornelius
According to the Commission, when GunnAllen Financial Inc. was winding down its business operations last year, its former president and former national sales manager violated customer privacy rules by improperly transferring customer records to another firm. [read post]
4 Oct 2011, 3:28 pm by Steve Bainbridge
Back when I was a summer associate at White & Case, we used to talk about SEC v. [read post]
16 Sep 2011, 1:39 pm
The Justice Department has been investigating Bridgestone’s involvement in international cartel activities relating to the sale of marine hose since May 2007, according to the statement.The case is U.S. v. [read post]
18 Aug 2011, 7:06 am by Sheldon Toplitt
Howell handed the Secret Service and the Obama Administration a setback this week, ruling that White House visitor logs are agency records subject to being produced under the Freedom of Information Act [5 U.S.C. sec. 552] unless shielded by one of the Act's exemptions.The issue of public access to visitors lists has  plagued both the Bush and Obama White House occupancies (see "TUOL" posts 9/7/09, 7/23/09), but in Judicial Watch, Inc. v. [read post]
2 Aug 2011, 1:05 am by Kevin LaCroix
  In addition, the SEC has revoked the securities registration of many other China-based reverse merger companies. [read post]
12 Jul 2011, 7:56 am by Michael Froomkin
Some of the bulk is also from communities worried about immigration reform and/or enforcement activities.Emily Andrew, Senior Privacy Officer, National Protection and Programs Directorate (NPPD), DHS spoke third, and described an office that had been a team of one when she started there, but has been growing rapidly.Current DPIAC members are: Chair Richard V. [read post]
20 Jun 2011, 1:17 am by Kevin LaCroix
 A foreign official includes any person who performs public functions in any branch of national, local, or municipal government in any country or territory outside the U.K. [read post]