Search for: "Securities Investor Protection Corporation"
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23 Aug 2007, 7:43 am
Chairman Cox is not sugar-coating his belief that investors purchasing municipal bonds, notes, and other debt securities suffer from inferior legal protection compared to that afforded to other investors purchasing corporate bonds or equities. [read post]
7 Oct 2021, 6:11 am
The investor protection policy of federal securities regulation faces new challenges in this climate. [read post]
24 Feb 2010, 9:25 am
SOURCE Securities Investor Protection Corporation, Washington, D.C. [read post]
4 Mar 2022, 6:03 am
SPAC mergers and direct listings dispense with nearly century-old techniques for capital raising, weakening investor protection. [read post]
21 May 2007, 9:04 pm
For decades investors have been told their accounts were protected by the Securities Investor Protection Corporation (SIPC) without being told what was covered by this insurance. [read post]
9 Jun 2017, 8:20 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
9 Jul 2012, 7:04 am
Securities Investor Protection Corporation, D. [read post]
5 Oct 2023, 12:15 am
Other laws, such as the California Corporate Securities Law of 1968, are intended to protect investors in securities transactions. [read post]
12 Jul 2016, 6:41 am
The Committee was established under the Dodd-Frank Wall Street Reform and Consumer Protection Act to advise the Commission on regulatory priorities, regulation of securities products, trading strategies, fee structures, disclosure effectiveness, and initiatives to protect investors and promote investor confidence and the integrity of the U.S. securities markets. [read post]
4 Oct 2016, 10:21 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
16 Jun 2011, 1:38 pm
As such, the SEC referred the case to the Securities Investor Protection Corporation and asked the SIPA to initiate a court proceeding to liquidate the SGC. [read post]
3 Sep 2010, 8:50 am
This blog posting is an update to our blog posting entitled Legal Update: Dodd-Frank Redefines "Accredited Investor", in which we explained that Section 413(a) of the Dodd-Frank Wall Street Reform and Consumer Protection Act amended the definition of "accredited investor" under Rule 215 of the Securities Act of 1933 and Rule 501 of Regulation D to exclude the value of an investor's primary residence from the $1 million net worth… [read post]
17 Mar 2012, 1:29 pm
The Securities and Exchange Commission and the Securities Investor Protection Corporation are at odds over what the standard of proof should be used for the SEC’s application to make SIPC start liquidation proceedings for Stanford Group Co. [read post]
17 Aug 2011, 12:00 am
Investors are highly interested in information regarding corporate political spending, says Hillary Sale, JD, securities and corporate governance expert and the Walter D. [read post]
21 Sep 2019, 6:17 am
William Hinman Director, Division of Corporation Finance Securities and Exchange Commission 100 F Street, N.E. [read post]
23 Feb 2010, 11:53 am
Madoff Investment Securities are customers, but those who invested with "feeder funds" like Agile Funds in Colorado or Fairfield Greenwich Group in Connecticut or through a pension like that run by the Plumbers and Steamfitters Local 267 in New York are not direct customers. [read post]
13 Feb 2007, 5:00 am
Seeks to Curtail Investor Suits": The New York Times today contains an article that begins, "The Securities and Exchange Commission has begun to take steps on two fronts to protect corporations, executives and accounting firms from investor lawsuits that accuse them of fraud. [read post]
22 Jul 2018, 6:47 am
The attorneys at Gana Weinstein LLP are reviewing court documents and complaints related to The Securities and Exchange Commission’s (SEC) charge that an equipment leasing company – Essex Capital Corporation (Essex) – and its founder Ralph Iannelli (Iannelli) defrauded investors in connection with sales of over $80 million in promissory notes. [read post]
22 Jul 2018, 6:47 am
The attorneys at Gana Weinstein LLP are reviewing court documents and complaints related to The Securities and Exchange Commission’s (SEC) charge that an equipment leasing company – Essex Capital Corporation (Essex) – and its founder Ralph Iannelli (Iannelli) defrauded investors in connection with sales of over $80 million in promissory notes. [read post]
9 Jul 2012, 4:05 pm
District Court for the District of Columbia has rejected the Securities and Exchange Commission’s lawsuit, which sought Securities Investor Protection Corporation protection for the investors that were defrauded in R. [read post]
