Search for: "UNITED STATES SECURITIES AND EXCHANGE COMMISSION"
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21 Jun 2018, 5:59 pm
In a 7-2 ruling, the Supreme Court held today that Securities and Exchange Commission (SEC) administrative law judges (ALJ) are “officers... [read post]
20 Sep 2022, 12:14 pm
The Securities and Exchange Commission ordered Waddell & Reed to pay close to $776,000 over alleged failures to prevent reverse churning in a wrap fee investment advisory program. [read post]
29 Jun 2022, 8:31 am
HE HANDLES FALSE CLAIMS ACT CASES AS WELL AS SECURITIES AND EXCHANGE COMMISSION WHISTLEBLOWER CLAIMS AND CAN BE REACHED AT 978-880-4758 OR JNEWMAN@NEWMANSHAPIRO.COM The post Securities and Exchange Commission opens new investigation into Ericsson over its handling of reporting on ongoing Iraq corruption issues concerning money allegedly flowing to Iraq state militant group. [read post]
25 Mar 2021, 10:22 am
The US Securities and Exchange Commission prosecutes approximately 50 insider trading cases […] The post Study shows that only 20% of all insider trading occurences are caught in the United States appeared first on Newman & Shapiro. [read post]
2 Jan 2019, 4:00 pm
Counsel for three non-profit organizations acting on behalf of Indigenous peoples in Guatemala are asking the British Columbia Securities Commission and the United States Securities and Exchange Commission to investigate two Canadian mining companies’ alleged failure to disclose material information related to a planned purchase of one by the other. [read post]
3 Jun 2022, 6:59 am
HE CAN BE REACHED AT 978-880-4758 OR AT JNEWMAN@NEWMANSHAPIRO.COM The post Securities and Exchange Commission charges steel pipe manufacturer with violating Foreign Corrupt Practices Act for Brazilian bribes. [read post]
8 Jan 2015, 8:30 am
By: Mark Tarallo On December 17, 2014, the United States Securities and Exchange Commission (“SEC) issued proposed amendments to the existing rules adopted under Section 12 (g) of the Exchange Act to reflect the new, higher thresholds for registration, termination of registration and suspension of reporting that were adopted as part of the JOBS Act. [read post]
17 Nov 2022, 12:25 pm
The United States Securities and Exchange Commission Office of Investor Education has recommended that all investors check their accounts to determine whether financial information or assets have been stolen. [read post]
13 Jun 2023, 9:29 am
Congress has managed not to adopt a federal privacy law, leaving it to the Securities Exchange Commission, the Federal Trade Commission, and other regulators to fill the void – something that will take years to implement and will be subject to challenges. [read post]
31 Mar 2023, 7:01 am
The post Securities and Exchange Commission files insider trading charges against former stock broker from New Jersey and trader for Canadian asset management firm appeared first on Jeff Newman Law. [read post]
26 Jun 2020, 4:30 pm
June 16, 2020), the United States Court of Appeals for the District of Columbia Circuit invalidated the Securities and Exchange Commission’s (“SEC”) experimental transaction fee pilot program to study the market effects of broker-dealer incentive programs used by domestic stock exchanges. [read post]
20 Jun 2023, 7:54 am
The Oklahoma Supreme Court has accepted an attorney's resignation The United States Securities and Exchange Commission filed a complaint in federal court against Respondent, claiming violations of various securities laws. [read post]
22 Jul 2021, 7:41 am
The United States and Italy are close Partners and Allies Italy and the United States share a commitment to the same values – democracy, human rights, the rule of law, security, and prosperity. [read post]
27 Dec 2013, 9:00 am
Information for individual considering retirement available at the Securities and Exchange Commission’s websiteSource: United States Securities and Exchange CommissionThe United States Securities and Exchange Commission has posted a number of aids to assist individuals interested in planning for retirement on the Internet. [read post]
26 Feb 2019, 10:04 am
To date, virtual currency exchanges in the United States have structured their operations in an effort to avoid being required to register as an exchange with either the Securities and Exchange Commission or the Commodity Futures Trading Commission. [read post]
2 Oct 2017, 7:31 am
A majority of the United States Court of Appeals for the District of Columbia Circuit in the main upheld findings by the SEC The Securities and Exchange Commission found that Francis Lorenzo sent email messages to investors containing misrepresentations about... [read post]
17 Aug 2023, 1:02 pm
” The major question doctrine, used as reasoning to limit agency decision-making powers in recent United States Supreme Court cases, such as West Virginia v. [read post]
19 Oct 2018, 6:47 am
United States of America, Plaintiff/Appellee, v. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
15 Aug 2022, 7:53 am
The post AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors appeared first on Experienced Investor Advocates. [read post]
