Search for: "Securities & Exchange Commission v. Bailey"
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5 Feb 2024, 10:06 am
Co. v. [read post]
2 May 2014, 4:41 am
The company hired people to work as transaction agents who, in exchange for a commission, received wired money from the investors and then wired the money to individuals in Europe. [read post]
15 Feb 2024, 9:01 pm
As is customary, I’d like to note that my views are my own as Chair of the Securities and Exchange Commission, and I am not speaking on behalf of my fellow Commissioners or the staff. [read post]
29 Aug 2012, 2:00 am
A company required to file reports with the Securities and Exchange Commission pursuant to Sections 13 or 15(d) of the Securities Exchange Act of 1934 and that meets certain other conditions may use Form S-8 to register the sale of securities under any employee benefit plan to its employees (or employees of its parent or subsidiaries). [read post]
5 Feb 2020, 8:54 am
Securities and Exchange Commission sued the insured, a law firm holding a lawyers professional liability policy, seeking disgorgement of ill-gotten gains (legal fees obtained by fraudulent misrepresentations regarding a securities offering), as well as pre-judgment interest. [read post]
13 Feb 2023, 5:59 am
In the following guest post, Brian Baney, Senior Vice President, Head of Management and Professional Liability Claims, Ascot Group, Peter Trochev, Senior Vice President, Financial Institutions, Ascot Group, Elan Kandel, Member, Bailey Cavalieri LLC and James Talbert, Associate, Bailey Cavalieri LLC, survey the current risk environment for private equity firms. [read post]
14 Jan 2019, 3:08 pm
Securities and Exchange Commission, 137 S. [read post]
5 Sep 2012, 8:32 am
In 2003, the Securities and Exchange Commission filed a civil complaint against the CEO, claiming he had violated a federal rule that requires any distribution of stock to be in exchange for legitimate services. [read post]
15 Feb 2022, 2:05 pm
Claims brought following the de-SPAC are similar to securities lawsuits brought against other public companies, arising under Section 10(b), Section 14(a) and/or Section 20(a) of the Securities Exchange Act. [read post]
8 Jan 2018, 2:38 pm
Securities & Exchange Commission (“SEC”) constituted claims for purposes of an excess policy’s prior and pending claims exclusion. [read post]
22 Apr 2024, 1:11 pm
In connection with private equity-backed public offerings, the sponsoring firm and its principals and affiliated funds are routinely named as defendants in such lawsuits—both as primary actors under Section (10)(b) of the Securities and Exchange Act of 1934 and as controlling persons under Section 15 of the Securities Act of 1933 and Section 20(a) of the Exchange Act. [read post]
12 Jul 2020, 8:06 pm
Bailey and Timothy Caulfield state, One concern that consistently emerges in relation to obtaining genetic information is the worry that an individual may be discriminated against on the basis of his or her genetic make-up and, specifically, on the basis of a predisposition to a certain condition or disease. [read post]
9 May 2022, 1:35 am
Kentucky and Maryland have introduced insurance data security legislation based on the National Association of Insurance Commissioners Insurance Data Security Model Law. [read post]
22 Feb 2018, 6:00 am
Knauff v. [read post]
3 Nov 2016, 9:30 pm
Securities and Exchange Commission (SEC) is investigating the bank—an investigation that comes in addition to ongoing investigations into the bank by the U.S. [read post]
21 May 2012, 4:54 am
Brighton Festival (Brighton Dome, Corn Exchange). 30 May, 9am – 7.30pm: Conference: ‘After phone hacking, what next? [read post]
17 Apr 2023, 5:50 am
The court found that the influencer could not give stock tips without an Australian Financial Services Licence and he was ordered to pay the legal bills of the Australian Securities and Investments Commission, who filed the claim. [read post]
31 Dec 2019, 8:13 am
The Securities and Exchange Commission (the “SEC”) has provided a model form and accompanying instructions for firm privacy policies. [read post]
1 Oct 2021, 4:00 am
“Not since Bush v. [read post]
8 Nov 2017, 7:40 am
Bailey, 92 S.W.3d 577, 581 (Tex. [read post]
