Search for: "Securities and Exchange Commission v. Chase"
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1 Jul 2021, 7:25 am
Chase Investment Services Says Former Employee Raised Inadmissible Settlement Communication (BrokeAndBroker.com Blog)SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures (SEC Release)Court Enters Judgments Against Investment Adviser Firm and Owner for Undisclosed Compensation Practices (SEC Release)Securities and Exchange Commission, Plaintiff, v. [read post]
27 Feb 2010, 10:25 pm
The US Securities and Exchange Commission has countered the motion to dismiss its securities fraud case against two former JP Morgan Chase (JPM) executives. [read post]
28 Aug 2023, 4:00 am
The Court had asked the Securities and Exchange Commission to offer its opinion on whether they were securities and the SEC declined to do so. [read post]
10 Sep 2009, 12:55 am
Iroquois Brands, Ltd. is not only a standard teaching case in corporate law courses, it is routinely cited by the Securities and Exchange Commission (SEC) in response to corporations seeking to exclude shareholder proposals from proxy materials on the ground that the proposals are not significantly related to the corporations' businesses. [read post]
30 Jul 2012, 4:27 pm
District Court for the Southern District of New York says that the Securities and Exchange Commission is not a doing a good enough job in providing oversight of $55 million in investor education funds and the way that the money is being disbursed. [read post]
28 Jan 2009, 4:10 am
More specifically, the class action alleged that JPMC “created disguised loans for Enron and concealed the nature of these transactions by making false statements or omissions of material fact in its accounting and Securities and Exchange Commission (SEC) filings. [read post]
20 Jul 2023, 8:02 am
There is enough uncertainty that the court asked the Securities and Exchange Commission to offer its opinion. [read post]
20 Oct 2011, 10:11 pm
Citigroup has consented to pay $285 million to settle a Securities and Exchange Commission complaint accusing the bank of misleading investors in a $1 billion derivatives deal—a collateralized debt obligation called Class V Funding III. [read post]
11 Oct 2021, 7:32 am
The Securities and Exchanges Commission (SEC) has been awarding millions of dollars to whistleblowers in recent years—and the Commission has been awarding larger bonuses, more frequently. [read post]
17 Dec 2013, 9:42 am
On Tuesday, December 10, five federal regulatory agencies, the Federal Reserve, the Securities and Exchange Commission, the Federal Deposit Insurance Corporation, the Office of the Comptroller and the Commodity Futures Trading Commission, jointly released the long awaited and hotly contested “Final Rules Implementing the Volcker Rule. [read post]
3 Oct 2010, 5:00 am
Chase Bank USA, N.A., v. [read post]
14 Jul 2011, 10:16 pm
Because the Second Circuit held last week that a person can't get around the RICO Amendment by alleging a claim that no private person (and only the Securities and Exchange Commission) can bring -- aiding and abetting securities fraud. [read post]
27 Apr 2021, 7:30 am
//hdl.loc.gov/loc.pnp/hec.28258 Hired by the Securities and Exchange Commission in 1935 and living in the nation’s capital, he had to love the future Mrs. [read post]
15 Nov 2013, 10:27 am
” A group of former Securities and Exchange Commission members and law professors went even further, saying in an amicus brief that the 1988 decision is “the most powerful engine of civil liability ever established in American law. [read post]
30 Nov 2007, 7:33 am
U.S. companies will be allowed once again to exclude proxy access proposals from their corporate ballots, the Securities and Exchange Commission has decided. [read post]
6 Jun 2007, 6:02 pm
Morgan Chase & Co. and Morgan Guaranty Trust Company of New York in Southwire 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]
26 Mar 2010, 4:28 pm
Securities and Exchange Commission, especially regarding HomeSide’s financial health. [read post]
5 Apr 2013, 12:21 pm
Federal Trade Commission v. [read post]
26 Jun 2015, 12:00 pm
Securities and Exchange Commission 14-471Issue: Whether a defendant in a Securities and Exchange Commission civil enforcement action can be ordered to disgorge profits that he or she never received, possessed, or controlled, but that instead accrued directly to innocent third parties. [read post]
