Search for: "Security Federal S & L v. C & C Invest." Results 1 - 20 of 233
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17 Mar 2010, 9:19 am by N. Peter Rasmussen
Lawyer's Dismissal Was Not Unlawful Retaliation Under Sarbanes-Oxley Act A former general counsel did not suffer unlawful retaliation under the Sarbanes-Oxley Act, concluded a federal district court (DC Md, Harkness v. [read post]
31 May 2022, 5:57 am by Kevin LaCroix
  Background on SEC Administrative Proceedings One of the SEC’s functions is to bring enforcement proceedings against those alleged to have violated securities laws, such as the Securities Act of 1933, Securities Exchange Act of 1934, or Investment Advisor Act of 1940. [read post]
5 Apr 2009, 1:26 pm
(Editor’s Note: This post is based on a client memorandum by Jonathan C. [read post]
3 Jan 2024, 8:21 am by Unknown
By Lene Powell, J.D.Crypto firm Terraform Labs and its founder Do Kwon sold unregistered securities, a federal district court ruled. [read post]
22 Sep 2015, 8:01 am by John Jascob
Madoff Investments Securities LLC’s day-to-day affairs, and that the complaint failed to plead a primary violation of the securities laws (Dusek v. [read post]