Search for: "Securities & Exchange Commission v. Topping"
Results 321 - 340
of 403
Sort by Relevance
|
Sort by Date
28 Mar 2012, 4:54 am
Turn Over: A federal judge has ordered Securities and Exchange Commission lawyers to turn over their notes to federal prosecutors handling the criminal case against Rajat K. [read post]
3 Mar 2012, 1:59 am
Internet Corporation for assigned names and numbers plan to expand domain names, commercialization of highway rest areas, and food safety proposals (no specific legislation).Also, debt collection and Securities and Exchange Commission requirements on executive compensation.3. [read post]
27 Jan 2012, 8:45 am
Following the decision in Massachusetts v. [read post]
25 Jan 2012, 9:34 am
Howard-Anderson, in which the court ordered the plaintiffs it had found to have traded while in possession of confidential, nonpublic information to (i) self-report to the Securities Exchange Commission; (ii) disclose their improper trading in any future application to serve as lead plaintiff; and (iii) disgorge any profits made from the trades. [read post]
18 Jan 2012, 10:24 am
She calls attention to U.S. v. [read post]
18 Jan 2012, 3:57 am
§ 1920 (PDF) t.co/f6HHAi9a (Latham & Watkins) No Resolution Reached in Pippins v. [read post]
6 Jan 2012, 2:00 am
Because the minority shareholder only owns shares in the parent corporation organized under the laws of Spain, the Chancery Court properly considered whether it had standing to bring a derivative claim under Spanish law. 5) Wall Street Journal: SEC Charges Adviser in Social-Media Scam – This article discusses the recent charge by the Securities and Exchange Commission against an Illinois-based investment adviser with offering to sell more than $500 billion… [read post]
2 Jan 2012, 4:17 pm
Lincoln is quickly dubbed “Bush v. [read post]
29 Dec 2011, 10:27 am
Jenkins and the Staff of the Securities and Exchange Commission have reached a tentative settlement agreement to resolve this matter," noting that "such tentative settlement agreement is subject to approval by the Securities and Exchange Commissioners. [read post]
4 Dec 2011, 5:07 pm
Securities and Exchange Commission Inspector General H. [read post]
12 Nov 2011, 1:20 pm
Al-Nashiri said several times that he understood the issue and wanted to proceed with Paradis on his team.During this exchange, Cuyler v. [read post]
1 Nov 2011, 12:04 pm
Hopkins with violating Sections 17(a)(1), (2), and (3) of the Securities Act and Section 10(b) of the Exchange Act (as well as Rule 10b-5). [read post]
28 Oct 2011, 5:00 am
Dalton in SAI Global’s Viewpoint A Reuters article last week revealed that the Securities and Exchange Commission (SEC) has begun taking a new tact when conducting its compliance examinations at brokerage firms. [read post]
4 Oct 2011, 3:28 pm
Without the blessing conferred by the auditor’s letter or the rating agency’s evaluation, the corporation will have a more difficult time selling securities or remaining listed on a securities exchange. [read post]
14 Sep 2011, 2:00 am
O’Leary On August 30, 2011, the Securities and Exchange Commission (SEC) announced a settlement with James O’Leary, the former chief financial officer of Beazer Homes USA, to recover approximately $1.4 million in cash bonuses, incentive and equity-based compensation, and profits from his sale of Beazer stock during the period of time that the SEC alleged an individual at Beazer—but not O’Leary—was committing “accounting misconduct. [read post]
25 Aug 2011, 9:10 am
Glassman was featured in Barronand#39;s as the top female financial advisor in the United States, and according to her website, she andquot;has been listed consistently in the top third of Barronand#39;s 100 Best Brokers. [read post]
9 Aug 2011, 12:47 am
In the courts: BB, R (on the application of) v Special Immigration Appeals Commission & Anor [2011] EWCA Civ 2129 (02 August 2011) ??? [read post]
29 Jul 2011, 1:28 am
In yet another blow to the Securities and Exchange Commission’s rulemaking efforts, the U.S. [read post]
25 Jul 2011, 1:55 am
National Australia Bank, Section 10 of the ’34 Act and Rule 10b-5 apply to “transactions in securities listed on domestic exchanges, and domestic transactions in other securities. [read post]
20 May 2011, 1:56 am
The securities were registered but not listed on any national exchange. [read post]
