Search for: "SEC v. National Securities, Inc."
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20 Nov 2018, 2:28 pm
Supreme Court’s February 2018 decision in Digital Realty Trust, Inc. v. [read post]
12 Nov 2018, 6:30 am
” Unregistered national securities exchange The SEC brought its first enforcement action against a cryptocurrency trading platform for operating as an unregistered national securities exchange. [read post]
11 Nov 2018, 4:03 pm
If they never made any payments on their respective loans, Foster and Mock were in effect net beneficiaries of the predatory loans (at least as long as the Trusts do not garnish their bank accounts, if any, judgments secured). [read post]
8 Nov 2018, 2:31 pm
Haitian Centers Council, Inc., 509 U.S. 155 (1993). [read post]
5 Nov 2018, 7:04 am
Circuit and dissented from the panel majority opinion that upheld most of the Commission’s opinion finding Lorenzo liable for securities violations (Lorenzo v. [read post]
28 Oct 2018, 12:53 pm
I, Sec. 8, cl. 8. [read post]
24 Oct 2018, 4:33 pm
Given the SEC’s expertise, wherewithal, creativity and specialized resources to prosecute any kind of securities fraud, the SEC, not surprisingly, led the charge. [read post]
15 Oct 2018, 7:05 am
This week the Court released the calendar for arguments at the end of November and into December these cases are: Apple, Inc. v. [read post]
10 Oct 2018, 6:37 am
The petitioners in Bats Global Markets, Inc. v. [read post]
5 Oct 2018, 5:52 am
National Australia, SEC, SEC enforcement, Section 10(b), Securities enforcement, Securities fraud, Securities regulation Cyber Lessons from the SEC? [read post]
24 Sep 2018, 1:08 pm
New Prime 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]
4 Sep 2018, 3:35 pm
Supreme Court issued its unanimous decision in Cyan, Inc. v. [read post]
4 Sep 2018, 7:00 am
National Security Archives v. [read post]
4 Sep 2018, 7:00 am
National Security Archives v. [read post]
3 Sep 2018, 4:49 pm
On July 6, 2018, the Second Circuit ruled in favor of the policyholder in Medidata Solutions, Inc. v. [read post]
30 Aug 2018, 4:49 pm
On July 6, 2018, the Second Circuit ruled in favor of the policyholder in Medidata Solutions, Inc. v. [read post]
30 Aug 2018, 4:44 pm
In an August 24, 2018 opinion in United States v. [read post]
27 Aug 2018, 3:41 pm
See Mock v. [read post]
24 Aug 2018, 6:06 am
Securities and Exchange Commission, on Wednesday, August 22, 2018 Tags: Broker-dealers, Disclosure, Investment advisers, Investor protection, Retail investors, SEC rulemaking, Securities regulation Board Diversity, Firm Risk, and Corporate Policies Posted by Gennaro Bernile (University of Miami) Vineet Bhagwat (George Washington University), and Scott E. [read post]
