Search for: "U.S SECURITIES AND EXCHANGE COMMISSION v. SECURE CAPITAL FUNDING CORPORATION et al"
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3 Dec 2012, 3:49 am
On November 30, 2012, the Securities Exchange Commission announced that it has filed a complaint in the Southern District of New York against China North East Petroleum Holdings Limited (“CNEP”) and a number of its current and former directors and officers (Securities and Exchange Commission v. [read post]
10 Oct 2009, 2:36 pm
Guttenberg, et al., C.A. [read post]
24 Jan 2020, 1:00 am
Securities and Exchange Commission Rule 10b-5 promulgated thereunder. [read post]
31 Aug 2020, 3:00 pm
-listed corporation’s market capitalization regardless of whether their published information is factually correct. [read post]
13 Apr 2020, 4:19 pm
Securities and Exchange Commission. [read post]
24 Aug 2022, 9:01 pm
Leading this charge is the Securities and Exchange Commission (“SEC”). [read post]
30 Jul 2015, 11:12 am
Securities and Exchange Commission. [read post]
1 Feb 2023, 9:01 pm
The passage of the Securities Act and the Exchange Act, and the authority that Congress gave to the Commission, reflected an intentional and marked departure from that dark default. [read post]
16 Feb 2021, 2:23 pm
Pension Fund, 575 U.S. 175 (2015). [read post]
14 Feb 2018, 2:57 pm
Securities and Exchange Commission, 581 U.S. ___ (2017), that the SEC’s ability to recover funds through disgorgement is subject to a five-year statute of limitations. [read post]
28 Nov 2011, 8:57 pm
On October 26, 2011, the Chicago Mercantile Exchange ("CME") performed a spot audit on MF Global. [read post]
15 Feb 2022, 2:05 pm
For example, in Camelot Event Driven Fund v. [read post]
24 Jan 2019, 2:36 pm
Securities and Exchange Commission (SEC). [read post]
24 Oct 2023, 9:01 pm
It undermines the investor confidence needed for the fair, efficient, and orderly operation of our markets and for capital formation. [read post]
22 Feb 2023, 1:07 pm
International Trade Commission has required elevated forms of self-disclosure about corporate status for years, with on of the five sitting Administrative Patent Judges (APJs), Cameron Elliot, recently ordering litigation finance discovery in three investigations—perhaps with more on the way, as NPEs and funds have sought to use the ITC more frequently recently to exert leverage in litigation. [25] These disclosure orders and laws come in response to the growing… [read post]
11 Nov 2021, 2:07 pm
Record-Setting Equity Markets and Low Litigation Rates During 3Q of 2021 and 4Q’s kick-off, liquidity permeates the capital markets leading public corporations trading in the U.S. markets to reach $50 trillion in aggregate market capitalization.[12] This is about $20 trillion more than one year ago (~67% increase in market cap during a global pandemic…) and the Federal Reserve is reluctant to restrict the money supply by keeping the… [read post]
16 Mar 2020, 1:54 pm
This decision opens a window for potential liability for misstatements beyond the Supreme Court’s prior decision in Janus Capital Group, Inc. v. [read post]
11 Apr 2013, 10:12 am
American Petroleum Institute, et al. v. [read post]
12 Jun 2009, 10:49 am
Docket: 08-327 Title: Arizona, et al. v. [read post]
18 Apr 2024, 9:01 pm
Put another way: any time you have individuals or corporations trying to capitalize and profit on FOMO, or the “fear of missing out,” around a new technology or offering, it should raise red flags for regulators and compliance professionals alike. [read post]
