Search for: "Smith v. Securities and Exchange Commission"
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21 Feb 2008, 10:07 pm
The Securities and Exchange Commission is conducting three dozen open investigations into misconduct in the subprime mortgage industry. [read post]
11 May 2022, 6:37 am
Securities and Exchange Commission’s (SEC) Division of Examinations (the “Division”) released its 2022 examination priorities. [read post]
11 May 2022, 6:37 am
Securities and Exchange Commission’s (SEC) Division of Examinations (the “Division”) released its 2022 examination priorities. [read post]
13 Nov 2012, 11:54 am
Securities and Exchange Command#39;n, 415 F.2d 589, 596-7 (2nd Cir.1969). [read post]
10 Jul 2019, 4:52 am
Hoffman, is now facing fraud charges brought by the US Securities and Exchange Commission (SEC). [read post]
FINRA Proposal Giving Collective Actions Exemption from Arbitration Gains SEC’s Accelerated Approval
24 Apr 2012, 11:13 am
The Securities and Exchange Commission has given accelerated approval to a proposed rule change by the Financial Industry Regulatory Authority. [read post]
8 Nov 2020, 6:55 am
Smith, Brian V. [read post]
8 Sep 2022, 9:01 pm
The following year, they passed the Securities Exchange Act of 1934. [read post]
14 Jul 2018, 6:53 am
Securities and Exchange Commission (the “SEC”), delivered a speech on June 14, 2018, that is helpful in defining the U.S. regulatory framework surrounding digital assets. [read post]
2 Mar 2018, 6:09 am
Securities and Exchange Commission, on Tuesday, February 27, 2018 Tags: Arbitration, Charter & bylaws, Class actions, Institutional Investors, Investor protection, IPOs, Retail investors, Securities Act, Securities litigation, Securities regulation, Settlements, Shareholder rights An Overview of U.S. [read post]
20 Sep 2022, 12:11 pm
Via Matt Levine, I learn of a SEC complaint against MorganStanley Smith Barney (MSSB): The Securities and Exchange Commission today announced charges against Morgan Stanley Smith Barney LLC (MSSB) stemming from the firm’s extensive failures, over a five-year period, to protect the personal identifying information, or PII, of approximately 15 million customers. [read post]
26 May 2012, 7:05 pm
At a House Financial Services Committee hearing on May 17, a number of Democratic lawmakers spoke out against the Securities and Exchange Commission's practice of settling securities enforcement actions without making defendants deny or admit to the allegations. [read post]
2 Feb 2007, 5:04 am
The Securities and Exchange Commission wants the court to order disgorgement plus prejudgment interest, injunctive relief, and civil penalties. [read post]
20 Apr 2012, 9:28 pm
’s Quarterly Corporate Fraud Index, the Securities and Exchange Commission's new whistleblower bounty program may be indirectly leading to a resurgence in corporate internal reporting mechanisms. [read post]
3 Feb 2008, 10:42 pm
Background While the decision of the Second Circuit Court of Appeals binds many public companies of that specific jurisdiction, the SEC must now decide whether to propose a clarifying change to Rule 14a-8(i)(8) ("the Rule"), binding all companies subject to Federal Securities Law and alleviating courts of difficult interpretation. [read post]
15 Dec 2011, 12:22 am
In Dugal v. [read post]
3 Apr 2013, 12:47 pm
Barbato, Securities Exchange Act Release No. 41034), Craighead v. [read post]
23 Nov 2018, 6:07 am
Smith, and Kellie C. [read post]
8 Mar 2022, 5:00 am
Supreme Court’s statement in Reiter v. [read post]
6 Aug 2008, 2:12 pm
In a July 9 filing, the trustee for Wright's former company claimed that Goins and his one-time firm breached their representation contracts with IMA by not carrying out some of their duties as attorneys and by being professionally negligent in how they dealt with the Securities and Exchange Commission. [read post]
