Search for: "SEC v. National Securities, Inc." Results 21 - 40 of 538
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11 Jul 2023, 9:14 am by Unknown
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]
28 Jul 2019, 8:40 am by Race to the Bottom
On April 2, 2019 the founder and former Chief Executive Officer of Jumio Inc., Daniel Mattes, agreed to settle with the Securities Exchange Commission (SEC) for more than $17 million for defrauding investors. [read post]
Australia National Bank to claims involving the extraterritorial reach of the federal securities laws. [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]
26 Jul 2017, 7:39 am by Renae Lloyd
Behringer Harvard Opportunity REIT II Inc. has changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc., according to recent SEC filings. [read post]
18 Jan 2022, 12:04 am by The White Law Group
  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]
12 Sep 2017, 1:02 pm by Renae Lloyd
According to SEC filings, in July, Behringer Harvard Opportunity REIT II Inc. changed its name to Lightstone Value Plus Real Estate Investment Trust V Inc. [read post]
20 Sep 2018, 12:46 pm by David Cosgrove
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]
4 Feb 2016, 7:58 am by Mark Astarita
“Small businesses play a crucial role in our nation’s economy,” said SEC Chair Mary Jo White. [read post]