Search for: "SEC v. National Securities, Inc." Results 21 - 40 of 533
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4 Jan 2024, 12:10 pm by The White Law Group
  The SEC complaint referenced above involves an alleged ongoing offering fraud and purported Ponzi-like scheme by Integrated National Resources Inc. [read post]
2 Jan 2024, 12:56 pm by Kevin LaCroix
Please note that these figures include only federal court securities suit filings; the numbers do not include securities class action lawsuits filed in state court. [read post]
27 Dec 2023, 6:09 pm by The White Law Group
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
18 Dec 2023, 2:48 pm by CFM Admin
  On November 20, 2023, the Securities and Exchange Commission (“SEC”) charged Payward Inc. and Payward Ventures Inc., together known as Kraken, with operating Kraken’s trading platform as an unregistered securities exchange, broker, dealer, and clearing agency. [read post]
5 Dec 2023, 9:01 pm by Michael C. Dorf
For example, in the 1943 case of National Broadcasting Co., Inc. v. [read post]
1 Dec 2023, 10:14 am by Robin Happel
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
24 Oct 2023, 9:01 pm by renholding
It prohibits entities from taking actions that impede employees from reporting possible securities law violations to the SEC. [read post]
22 Oct 2023, 9:01 pm by renholding
Morgan Stanley split from the Ninth Circuit, finding that a violation of Item 303 would be actionable under Section 10(b) and Rule 10b-5 if plaintiffs met the materiality requirements set forth in Basic Inc. v. [read post]
20 Oct 2023, 2:40 pm by CFM Admin
In a September 11, 2023 press release, the Securities and Exchange Commission (“SEC”) announced that it charged nine registered investment advisers for showing hypothetical performance results on their websites without adopting the necessary policies and procedures required under the SEC’s new marketing rules and regulations (the “New Marketing Rules”). [read post]
11 Oct 2023, 11:17 am by John Elwood
FTC, in which the Supreme Court more recently held that a plaintiff’s structural constitutional claim was not preempted by the SEC’s administrative review scheme. [read post]
4 Oct 2023, 7:54 am by Sasha Volokh
Today, the Fifth Circuit will be hearing oral arguments in National Horsemen's Benevolent and Protective Association v. [read post]