Search for: "SEC v. National Securities, Inc." Results 161 - 180 of 485
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24 Oct 2007, 5:15 am
  On September 18, The United States Court of Appeals for the Eleventh Circuit, sitting en banc, upheld a lower court decision denying a Rule 12(b)(6) motion (failure to state a claim) made by the National Association of Securities Dealers, Inc. [read post]
3 Nov 2017, 10:51 am by Amanda Pickens
October 12, 2017) (class action brought under federal securities laws alleging defendants issued a false and misleading registration statement with the SEC regarding a proposed merger with Select Bank & Trust Company, which allegedly denies shareholders information needed to make sound future decisions.) [read post]
13 Jul 2011, 6:55 am by Louis M. Solomon
Drummond Co., Inc., 552 F.3d 1303, 1315 (11th Cir. 2008) (discussed in our posting here) and disagreeing with the Second Circuit in Kiobel v. [read post]
5 Apr 2009, 1:26 pm
The SEC also launched an investigation of credit rating agencies, and, on February 2, 2009, adopted amendments to the rules governing nationally recognized statistical rating organizations to address concerns about the integrity of the process by which rating agencies rate structured finance products.[12] The SEC has filed civil charges against a number of market participants. [read post]
11 Jan 2012, 6:00 am by Nicholas J. Wagoner
” The Financial Industry Regulatory Authority (otherwise known as “FINRA”) is the product of a 2007 merger between the NYSE’s former enforcement arm and the National Association of Securities Dealers (NASD). [read post]
26 Feb 2010, 5:00 am by Doug Cornelius
How To Write a Code of Ethics by Josh Spiro in Inc. [read post]
29 May 2014, 5:50 am by Joy Waltemath
The Eleventh Circuit vacated summary judgment against an employee’s claims that he suffered unlawful national origin and race discrimination in violation of Title VII and Sec. 1981. [read post]
29 Oct 2009, 7:21 am
National Australia Bank, a high-profile case from the Second Circuit asking how far overseas American securities fraud laws may reach. [read post]
23 Feb 2018, 10:03 am by Amy Howe
SEC (Monday, April 23) Pereira v. [read post]
26 Nov 2018, 4:00 am by Administrator
Nova Scotia Liquor Corporation In January of this year the Supreme Court of Nova Scotia issued its decision in the matter of Unfiltered Brewing Inc. v. [read post]
We also expect more disclosure, given the Commission’s endorsement of the principle expressed in the seminal case of TSC Industries, Inc. v. [read post]