Search for: "SEC v. National Securities, Inc."
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11 Jul 2023, 9:14 am
Bittrex, Inc., June 30, 2023).In a separate motion to dismiss, Bittrex’s foreign affiliate, Bittrex Global GmbH, argues the SEC failed to show that Bittrex Global acted as an exchange for domestic securities transactions.The SEC charged Bittrex, Inc. and its former CEO in April with operating an unregistered national securities exchange, broker and clearing agency. [read post]
24 Feb 2015, 2:24 pm
SEC, and Chiarella v. [read post]
7 Feb 2013, 6:24 am
Australia National Bank to claims involving the extraterritorial reach of the federal securities laws. [read post]
29 May 2023, 1:26 pm
Petitioners v. [read post]
10 Sep 2013, 9:31 am
In the SEC v. [read post]
23 Aug 2010, 5:48 am
In NetCoalition v. [read post]
18 Aug 2022, 7:40 am
ESG Security, Inc. [read post]
18 Jan 2022, 12:04 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
11 Jun 2011, 10:12 pm
The nation’s highest court has decided not to review three federal appeals court rulings that brought up the securities law issues of disclosure obligations and antifraud liability. [read post]
2 Sep 2010, 9:06 am
In Morrison v. [read post]
13 Oct 2024, 9:01 pm
Background on Forms 13F and 13H Under Exchange Act Section 13(f)(1), institutional investment managers that use the United States mail (or other means or instrumentality of interstate commerce) in the course of their business and that exercise investment discretion over $100 million or more in Section 13(f) securities may be required to file quarterly reports listing such securities positions on SEC Form 13F.[2] Section 13(f) securities are defined as equity… [read post]
13 Nov 2012, 11:54 am
Sec. [read post]
14 Oct 2024, 1:39 pm
McGuireWoods is a national leader in securities enforcement defense. [read post]
17 Jan 2019, 7:10 am
Digital Realty Trust, Inc. v. [read post]
20 Sep 2018, 12:46 pm
The Securities and Exchange Commission (“SEC”) affirmed a Financial Industry Regulatory Authority (“FINRA”) Decision in which EKN Financial Services Inc. stockbroker, Louis Ottimo, was assessed a $25,000.00 fine and two-year suspension in all capacities pursuant to findings that he willfully failed to accurately and timely update his Uniform Application for Securities Industry Registration or Transfer (“Form U4”) to reflect… [read post]
23 Sep 2013, 12:50 pm
Action Notice Date Claim Due Date 2013-84 SEC v. [read post]
29 Jun 2021, 2:27 pm
Ripple Labs Inc., Docket C.A. [read post]
22 Aug 2024, 9:05 pm
Dec. 22, 2020) and Securities and Exchange Commission v. [read post]
10 Jul 2024, 9:01 pm
Securities and Exchange Commission (“SEC”). [read post]
3 May 2012, 7:06 am
The case is SEC v. [read post]
