Search for: "Singer v. United States"
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1 Aug 2022, 4:04 am
Georgie Court of Appeals Reverses Leggett v. [read post]
25 Jan 2017, 5:24 am
Securities and Exchange Commission, Respondent, the United States Court of Appeals for the District of Columbia Circuit admonished the Securities and Exchange Commission that the federal regulator's imposition of a collateral bar for pre-Dodd Frank misconduct was an impermissible retroactive sanction. [read post]
20 Jun 2018, 4:54 am
BREAKING NEWS: Lucia V. [read post]
12 Feb 2018, 3:21 am
Morales (United States District Court for the Middle District of Louisiana, No. 3:12-CV-00700 ) a final judgment was entered against hedge fund manager Walter A. [read post]
20 Mar 2023, 3:55 am
(Opinion, United States Supreme Court, 598 U. [read post]
27 Jun 2020, 2:54 am
BREAKING NEWS: Seila Law LLC, Petitioner, v. [read post]
16 Dec 2017, 6:12 am
BATS Global Markets, Inc., et al, Defendants/Appellees (Opinion, United States Court of Appeals For the Second Circuit, No. 15‐3057-CV; December 19, 2017. [read post]
27 Jun 2020, 2:54 am
United States Securities and Exchange Commission and Walter Clayton, Respondents (Opinion, 2Cir)SEC Charges BNP Paribas with Violations of Regulation SHO (SEC Release)SEC Updates Filing Threshold to Rule 17h Reporting Requirements for Broker-Dealers (SEC Release)... [read post]
27 Jun 2020, 2:54 am
Taylor III, Respondent (FINRA AWC)Supreme Court Denies Defendants’ Challenge to CFTC’s Enforcement AuthorityUS Supreme Court Says "Bookings.com" Is Not An Ineligible Generic Name Per Federal Trademark United States Patent and Trademark Office, et al., Petitioners, v. [read post]
17 Jun 2021, 3:25 am
Yellen, Secretary of the Treasury (Opinion, United States Supreme Court 19-422)CFTC Charges Texas Man and His Company w... [read post]
20 Feb 2018, 3:20 am
U.S. v. [read post]
3 Apr 2023, 4:20 am
Allstate Insurance Company, Defendants (Memorandum and Order, United States District Court for the Eastern District of New York) Goldman Sachs gets $3M FINRA fine for 60 million short sale errors (Financial Planning by Victoria Zhuang) Latest SEC budget request emphasizes an enforcement agenda (Financial Planning by Dan Shaw) Industry Group Calls on Finra to Drop Series 7 Sponsorship Requirement (Financial IQ by Sam Del Rowe) ... [read post]
8 Jan 2018, 3:12 am
(Complaint, United States District Court for the Southern District of Florida, 17-CV-62345) the SEC charged Joseph A. [read post]
27 Jan 2018, 11:39 am
(United States District Court for the District of Massachusetts, 18-CV-10186) the SEC charged Boston-area investment advisers James S. [read post]
12 Jul 2019, 3:42 am
Scottsdale Capital Advisors Corporation, Plaintiff, v. [read post]
20 Mar 2023, 3:55 am
(Opinion, United States Supreme Court, 598 U. [read post]
2 Nov 2018, 6:30 am
Ga.)In a Complaint filed in the United States District Court for the Northern District of Georgia, the SEC alleged that former investment advisor Charles A. [read post]
8 Jan 2018, 3:14 am
, (Complaint, United States District Court for Connecticut, 18-CV-00055), the SEC alleges that Haddad operated Trafalgar Square Risk Management, LLC and New England RE, LLC and that he raised at least $2.5 million from 29 investors through the offer and sale of unregistered securities in each company. [read post]
10 Jan 2020, 1:41 am
(Opinion, United States Supreme Court)FINRA Imposes $1 Million Fine On Prudential Investment Management Services For Retirement Plans' Supervisory Issues. [read post]
2 Jan 2018, 3:13 am
Khaled "Kal" Bassily (United States District Court for the Southern District of New York, 16-CV-2733 / Apr. 12, 2016), the SEC alleged that Khaled Bassily, former head of ConvergEx Group's transition management business, defraudd charities, religious organizations, and retirement funds by charging them substantially higher amounts than disclosed for the execution of trading orders.Without admitting or denying the SEC's allegations, Bassily… [read post]
