Search for: "Securities and Exchange Commission v. Goulding"
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19 Apr 2012, 5:00 am
On October 26, 2011, the Southern District Court of New York denied Defendant Steven Gould’s motion to dismiss a fraud claim by the Securities and Exchange Commission (“SEC”), finding that the Commission had sufficiently pled a claim against a CFO despite the barrier imposed by the Supreme Court’s decision in Janus. [read post]
23 Mar 2011, 5:39 pm
Securities and Exchange Commission, 451 F.3d 873 (D.C. [read post]
22 Dec 2014, 12:13 pm
Tougher Disclosure Requirements Section 10(b) of the Securities Exchange Act of 1934 and Securities and Exchange Commission rules 10b-5 and 10b5-1 generally prohibit trading on the basis of material nonpublic information, more conventionally known as insider trading. [read post]
12 Jul 2013, 12:12 pm
Gould and Jessica Brown On July 10, 2013, the Securities and Exchange Commission (“SEC”) voted to lift the ban on general solicitation and advertising by private funds (and other private company issuers) as mandated by Congress in the Jumpstart Our Business Startups Act (“JOBS Act”). [read post]
9 Aug 2013, 9:30 am
Securities and Exchange Commission (“SEC”), are “whistleblowers” for purposes of the Act, entitled to the protection of Dodd Frank’s anti-retaliation provisions. [read post]
12 Aug 2010, 7:40 am
Liberty's former CEO eventually pleaded guilty to a single count of conspiring to commit wire fraud and was sued by the Securities and Exchange Commission. [read post]
2 Aug 2010, 3:15 pm
SEC v. [read post]
8 Mar 2011, 1:59 pm
In doing so, the Securities and Exchange Commission (the “SEC”) sought to strike the proper balance among competing investor interests, with full consideration of appropriate lessons learned from recent spectacular failings concerning adviser reporting to investors. [read post]
12 Sep 2022, 5:00 am
Data Protection v. [read post]
23 Aug 2019, 6:17 am
Katz, Sabastian V. [read post]
16 May 2017, 7:30 am
Burwell (2015), holding that health insurance exchanges under the Affordable Care Act included state exchanges. [read post]
30 Nov 2011, 5:21 am
Citing what it called “wholly inadequate” oversight of a faraway subadviser, the Securities and Exchange Commission fined and ordered repayment of advisory fees by Morgan Stanley Investment Management. [read post]
24 Feb 2020, 4:05 am
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a remedy for violating the securities-fraud laws, along with “some of the ways the Court could decide it[] and some of its potential consequences. [read post]
15 Jul 2018, 4:05 pm
Page 73 considers data protection implications, advocating the current “Adequacy Decision” as a basis for ensuring the continued uninhibited exchange of data. [read post]
26 Feb 2018, 4:32 am
Somers, in which the court ruled that the anti-retaliation provision of the Dodd-Frank Act does not apply to a whistleblower who has not first reported a violation to the Securities and Exchange Commission, calling the outcome “a double-edged sword for employers. [read post]
15 Oct 2011, 2:13 am
FERC; Public Citizen, Inc., et al. v. [read post]
18 May 2018, 3:56 am
., Broadcom v. [read post]
18 Aug 2009, 6:18 am
The Submitting Professors welcome the opportunity to provide comments to the Securities and Exchange Commission (the "SEC") on its proposed rule Facilitating Shareholder Director Nominations (the "Proposed Rule"). [read post]
8 Aug 2012, 5:29 am
Samsung: Lack of Custodian Follow-Up+Failure to Suspend Auto-Deletion of Email=Adverse Inference - http://bit.ly/MaaYhA (@LegalHoldPro) Who's Tweeting live from the Apple v Samsung trial? [read post]
