Search for: "Securities and Exchange Commission v. Equity Service Corp"
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13 Nov 2012, 11:54 am
Dec.andnbsp;andnbsp;20, 2002; Vestax Securities Corp. v. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
8 Sep 2022, 9:01 pm
Tailored disclosures exist elsewhere — for example, asset-backed securities disclosure[12] differs from that for equities. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
27 Mar 2023, 9:01 pm
For the second year in a row, the “Electronic Technology and Technology Services” and “Health Technology and Services” sectors represented over half of all filings (54%). [read post]
13 Apr 2009, 12:23 pm
LLC v. [read post]
27 Dec 2007, 1:19 am
DISTRICT COURTSOUTHERN DISTRICT OF NEW YORKBusiness Law
Insider Trading Complaint Survives Dismissal Bid; ‘Tipped' Financial Information Deemed Material
Securities and Exchange Commission v. [read post]
2 Oct 2012, 1:08 pm
The Securities and Exchange Commission (SEC) Office of the Whistleblower has today issued seven (7) new Notices of Covered Actions. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
27 May 2014, 4:23 am
Securities and Exchange Commission who now sits on the board of the private equity firm KKR & Co – had in hand a 78-page paper larded with more than 400 footnotes. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
15 Jul 2021, 2:54 pm
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
1 Feb 2019, 10:51 am
The deterrent effect of the Securities and Exchange Commission’s enforcement intensity on illegal insider trading: evidence from run-up before news events. [read post]
29 Jul 2017, 9:56 am
" Doc. 1-1, Texas Home Equity Security Instrument Ex. [read post]
28 Jul 2017, 8:03 am
Crum disagrees, pointing to: (1) conversations he allegedly had with HSBC employees and agents, during which he says he learned that HSBC has no record in its databases of him, his Social Security Number, the Property, or any existing account between him and the bank; and (2) the Security and Exchange Commission's public database, EDGAR, which Crum says shows HSBC sold all of its assets—including the Note, supposedly—on or about April 1, 2013. [read post]
11 Dec 2008, 7:48 am
Declarations filed by the Securities and Exchange Commission in connection with its civil case against Dreier also indicated that some firm attorneys were concerned that escrow accounts, which Dreier controlled, had been depleted. [read post]
7 May 2018, 10:25 pm
(D.I. 1-1 at ¶¶ 19-20) VCG Securities, LLC ("VCG") was the authorized representative of the Owners in connection with the transaction, and was an affiliate of Odyssey. [read post]
28 Mar 2011, 7:02 pm
The Madoff liquidation case is Securities Investor Protection Corp. v. [read post]
6 May 2009, 1:22 am
SEC Charges Lawyers in Pump-and-Dump Scheme
The National Law Journal
The Securities and Exchange Commission on Tuesday charged two California-based attorneys with executing fraudulent legal opinions in a pump-and-dump scheme. [read post]
