Search for: "Securities and Exchange Commission v. James"
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20 Aug 2012, 11:03 am
James V. [read post]
25 Jul 2016, 7:13 am
Other news is a personnel change at the Securities and Exchange Commission because of cycling. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
14 Jun 2012, 2:04 pm
On June 12, 2012, the Securities and Exchange Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions (Order) against James Fleishman. [read post]
27 Jan 2018, 11:39 am
SEC Charges Two Boston-Based Investment Advisers with Fraud (SEC Litigation Release No. 24037) https://www.sec.gov/litigation/litreleases/2018/lr24037.htm In Securities and Exchange Commission v. [read post]
3 May 2012, 12:52 pm
In Australian Securities and Investments Commission v Hellicar [2012] HCA 17 and appeals relating to 6 other non-executive directors of James Hardie Industries Ltd (“JHIL”) the High Court allowed ASIC’s appeals and held that each director breached his or her duties as a director of the company by approving the company’s release of a misleading announcement to the Australian Stock Exchange (“ASX”). [read post]
13 Mar 2012, 5:17 pm
Jansen, the Securities and Exchange Commission had charged the couple with Texas securities fraud for using insider information about Dell Inc. to buy Perot Systems Corp. securities. [read post]
19 Oct 2007, 5:15 am
On September 5, 2007, the Securities and Exchange Commission (Commission) initiated a settled inforcement action against the Boston Stock Exchange (BSE), and its former president, James B. [read post]
30 Apr 2018, 1:35 pm
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
3 Feb 2017, 3:17 am
Purple SEC HazeIn Securities and Exchange Commission, Plaintiff, v. [read post]
4 Dec 2017, 3:41 am
Financial Adviser Settles Charges for Defrauding Private Equity Fund Investors (SEC Litigation Release No. 24003) https://www.sec.gov/litigation/litreleases/2017/lr24003.htmPursuant to Securities and Exchange Commission v. [read post]
26 Mar 2010, 11:24 am
In Securities & Exchange Commission v. [read post]
21 Nov 2009, 4:14 pm
To the Securities and Exchange Commission: On November 18, 2009, Overstock.com (NASDAQ: OSTK) held conference call where CEO Patrick M. [read post]
25 Apr 2015, 4:21 am
On April 27, 2015, the Securities And Exchange Commission ("SEC") announced it was denying whistleblower awards to one individual who claimed eligibility under five covered actions. [read post]
3 May 2012, 12:20 pm
In Shafron v Australian Securities and Investments Commission [2012] HCA 18 the High Court dismissed the appeal of Peter James Shafron, the company secretary and general counsel of James Hardie Industries Ltd (“JHIL”), against previous decisions that he contravened s 180(1) of the Corporations Act 2001 (Cth) by failing to discharge his duties as an officer of JHIL with the degree of care and diligence that a reasonable person in his position… [read post]
11 Sep 2018, 1:33 pm
The issuance of digital tokens in exchange for services rather than money still can constitute an offering of securities, according to findings recently made by the Securities and Exchange Commission in a settled enforcement action, In the Matter of Tomahawk Exploration LLC and David Thompson Laurance, Securities Act Rel. [read post]
23 Dec 2018, 7:42 am
Securities and Exchange Commission, No. 17-1077, on Monday, December 3, 2018, to decide whether an individual who merely distributed a material misstatement or omission, and is thereby not the “maker” of the statement under the test set forth in Janus Capital Group, Inc. v. [read post]
11 Nov 2023, 6:30 am
Posted by Brian V. [read post]
11 Nov 2023, 6:30 am
Posted by Brian V. [read post]
11 Jan 2017, 10:36 am
Just before the clock struck 2017, the United States Court of Appeals for the Tenth Circuit weighed in on the constitutionality of the United States Securities and Exchange Commission’s (“SEC” or “Commission”) administrative law judges. [read post]
