Search for: "Todd v. Securities and Exchange Commission"
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2 Mar 2016, 12:00 pm
Securities and Exchange Commission (“SEC” or the “Commission”) ruled that Former Neuberger Berman Analyst Sandeep “Sandy” Goyal, whom the SEC previously barred from the securities industry after he pled guilty to insider trading, could participate in the industry again. [read post]
24 Aug 2021, 12:25 pm
We have prosecuted at least one hundred cases over the years against Morgan Stanley and were not surprised to learn about David Todd Levine and his being barred by FINRA, the State of Colorado, and the Securities and Exchange Commission. [read post]
16 Jun 2022, 9:05 pm
Securities and Exchange Commission on June 16, 2022. [read post]
11 Dec 2014, 9:45 am
§ 371, Sections 10(b) and 32 of the Securities Exchange Act of 1934, 15 U.S.C. [read post]
17 Aug 2012, 5:28 am
The case is Securities and Exchange Commission v. [read post]
17 May 2013, 10:56 am
Subject to the Final Rules, individuals who voluntarily provided the Commission with original information after July 21, 2010 that led to the successful enforcement of a covered action listed below are eligible to apply for a whistleblower award. [read post]
30 Mar 2024, 5:14 am
Like the EPA in Sarinsky’s piece, agencies should follow the good example of the Securities and Exchange Commission in SEC v. [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
16 Dec 2022, 6:30 am
Securities and Exchange Commission, on Thursday, December 15, 2022 Tags: corporate disclosure, Insider trading, Institutional Investors, Rule 10b-5-1, SEC, SEC enforcement [read post]
24 Aug 2018, 8:55 am
Insider Trading Law Explained Neither Section 10(b) of the Securities Exchange Act of 1934 nor Rule 10b-5 of the Securities and Exchange Commission (SEC) expressly forbids insider trading. [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]
16 Jun 2021, 5:59 am
Director Compensation Practices in the Russell 3000 and S&P 500: 2021 Edition documents trends and developments in non-employee director compensation at 2,855 companies issuing equity securities registered with the US Securities and Exchange Commission (SEC) that filed their proxy statement in the period between January 1 and December 31, 2020, and, as of January 2021, were included in the Russell 3000 Index. [read post]
26 Aug 2013, 8:00 am
July 29, 2013), the United States Court of Appeals for the Eighth Circuit affirmed the district court’s delivery of jury instructions applying a negligence standard to alleged violations of Section 14(a) of the Securities Exchange Act of 1934 (“1934 Act”) and Securities & Exchange Commission (“SEC”) Rules 14a-9, 13b2-1 and 13b2-2. [read post]
26 Aug 2013, 7:00 am
July 29, 2013), the United States Court of Appeals for the Eighth Circuit affirmed the district court’s delivery of jury instructions applying a negligence standard to alleged violations of Section 14(a) of the Securities Exchange Act of 1934 (“1934 Act”) and Securities & Exchange Commission (“SEC”) Rules 14a-9, 13b2-1 and 13b2-2. [read post]
17 Jul 2023, 9:05 pm
Last Thursday’s split summary-judgment decision in the case that the Securities and Exchange Commission (SEC) brought against Ripple Labs, Inc. [read post]
20 Jul 2023, 4:30 am
To pick a pressing example, both are implicated by the combined efforts of some who argue that the judiciary should apply the major questions doctrine to the Securities and Exchange Commission’s efforts to claim jurisdiction over crypto assets. [read post]
23 Apr 2018, 3:15 pm
Securities and Exchange Commission, about whether that agency’s administrative law judges are “officers” of the United States under the Constitution’s appointments clause. [read post]
5 Apr 2011, 8:12 am
” Similarly, Securities and Exchange Commission spokesman John Nester said, “We’re pleased our views factored in the decision. [read post]
9 Oct 2015, 12:08 pm
Securities and Exchange Commission, which requires evidence that the insider “directly or indirectly” gained something from the initial disclosure. [read post]
4 Jun 2015, 5:00 am
With two recent fraud cases, the Securities and Exchange Commission issued a new Investor Alert: Beware of False or Exaggerated Credentials. [read post]
