Search for: "Smith v. Securities and Exchange Commission"
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18 Jul 2018, 11:23 am
These agreements were announced in a joint press release of the two corporations and in the third party’s Form 8-K filing with the Securities and Exchange Commission, which included partially redacted copies of both agreements. [read post]
11 Feb 2019, 12:05 pm
Varjabedian (April 15): In a lawsuit alleging violation of the Securities Exchange Act of 1934, whether a private plaintiff has to show that a person who made a false statement intended to do so, or whether it is enough that the false statement was made negligently Parker Drilling Management Services v. [read post]
4 Jan 2011, 8:50 am
Securities and Exchange Commission. [read post]
6 Mar 2024, 9:03 pm
[5] Commission Guidance Regarding Disclosure Related to Climate Change, Release No. 33-9106 (Feb. 2, 2010) [75 FR 6290 (Feb. 8, 2010)] [6] See Basic Inc. v. [read post]
14 Nov 2011, 6:23 am
At UPI, Michael Kirkland reports on a proposed Securities and Exchange Commission regulation designed to “undo at least some of the effects” of the Court’s opinion in Citizens United v. [read post]
20 Mar 2020, 3:03 am
Securities and Exchange Commission, which asks whether the SEC can seek disgorgement of profits as a judicial remedy for violating the securities-fraud laws, and Opati v. [read post]
1 Sep 2017, 6:49 am
The Parkers asserted that IB's acts and omissions, involving an extreme degree of risk, were grossly negligent, IB had actual awareness of the risk involved, but proceeded with conscious indifference, and IB had violated the Texas Securities Act.[3] The Parkers claimed that IB's breaches of duty had caused them a loss of $725,779 and IB had profited $44,807 in commissions, fees, and interest. [read post]
23 Feb 2018, 4:07 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. [read post]
8 Jun 2022, 9:01 pm
In 2020, the Commission adopted a Market Infrastructure Rule, which was recently upheld in court. [read post]
5 May 2022, 9:08 pm
Securities and Exchange Commission’s (SEC) traditional test for determining whether a transaction qualifies as a security—the Howey test—is problematic for cryptocurrencies. [read post]
21 Jul 2014, 6:45 am
” Third, Justice Mew addressed AEI’s submission that the arbitrator usurped the role of the Ontario Securities Commission (OSC) and Toronto Stock Exchange-Ventures (TSX-V) by deciding whether Storm was required under law to be registered as a LMD/EMD. [read post]
22 Feb 2012, 12:14 pm
Smith, 494 U.S. 872 (1990). [read post]
16 May 2022, 10:59 am
In Securities and Exchange Commission v. [read post]
21 Sep 2008, 5:59 pm
"This is another Employee Retirement Income Security Act of 1974 (ERISA) pre-emption case," De Buono v. [read post]
15 Aug 2016, 6:36 am
More importantly, the Second Circuit stated, the conclusion in Sacks is no longer tenable following the Supreme Court’s decision in Merrill Lynch, Pierce, Fenner & Smith Inc. v. [read post]
5 Oct 2018, 5:52 am
Securities and Exchange Commission, on Monday, October 1, 2018 Tags: Elon Musk, Misconduct, Rule 10b-5, SEC enforcement, Securities enforcement, Securities fraud, Settlements, Tesla A Tale of Two Earnouts Posted by Gail Weinstein, Brian T. [read post]
5 Jun 2017, 7:22 am
Smith-Wythe Airport Commission, et al. [read post]
30 Jun 2010, 8:51 am
Smith Want to know why so many states and municipalities are insolvent and teetering on bankruptcy? [read post]
1 Apr 2011, 8:27 am
Capute of the Securities and Exchange Commission (SEC), Lynn K. [read post]
27 May 2014, 4:23 am
Securities and Exchange Commission who now sits on the board of the private equity firm KKR & Co – had in hand a 78-page paper larded with more than 400 footnotes. [read post]
