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Securities and Exchange Commission v. Bernard L. Madoff and Bernard L. Madoff Investment Securities LLC (S.D.N.Y. Civ. 08 CV 10791 (LLS)) SEC Obtains Preliminary Injunction, Asset Freeze, and Other Relief Against Defendants
23 Dec 2008, 4:58 pm
The United States Securities and Exchange Commission announced that on December 18, 2008, the Honorable [read post]
The Datakos Blawg - http://wolfs2cents.wordpress.com
Cyberattacks- when must publicly traded companies report them to the Securities and Exchange Commission and other agencies?
1 Dec 2022, 8:25 am by jeffreynewmanadmin
Act of 1933 and Section 13(a) of the Exchange Act of 1934 and Rules 12b-20, 13a-15(a), and 13a-16 thereunder [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Supreme Court Case Watch: Securities and Exchange Commission v. Jarkesy and Its Impact on Independent Agencies
10 Jul 2023, 9:22 am by Leonard L. Gordon and Michael A. Munoz
final opinions of the term, the Court also granted certiorari on a number of cases, one of which—Securities [read post]
All About Advertising Law - http://www.allaboutadvertisinglaw.com
Securities and Exchange Commission Files Complaint Against Former J.P. Morgan Broker in $20 Million Fraud Case
1 May 2015, 9:37 am by Lax & Neville LLP
On April 16, 2015, the Securities and Exchange Commission (“SEC”) filed a complaint (&ldquo [read post]
New York Securities Lawyer Blog - http://www.newyorksecuritieslawyerblog.com/
U.S. Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible market manipulation
25 Mar 2021, 1:04 pm by jeffreynewmanadmin
Securities & Exchange Commission investigating Japanese telecom company Softbank Group for possible [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges Rochester NY and its former executives and municipal advisor with misleading investors when it sold million of bonds without disclosing financial distress
15 Jun 2022, 12:55 pm by jeffreynewmanadmin
The Securities and Exchange Commission has charged the City of Rochester, New York, its former finance [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Teresa Goody Guillén Participates in Securities and Exchange Commission’s Crypto Task Force Roundtable Discussing Regulatory Framework for Cryptocurrency
6 May 2025, 5:35 am by Teresa Goody Guillén
Partner Teresa Goody Guillén took part in the Securities and Exchange Commission’s roundtable [read post]
Employment Class Action Blog - http://www.employmentclassactionreport.com/
Article on Comment Letter of Professors Max M. Schanzenbach and Robert H. Sitkoff on the Securities and Exchange Commission’s Request for Comment on the Names Rule for Mutual Finds in Light of ESG Investing and Other Market Developments
20 Jul 2020, 12:00 pm by Gerry W. Beyer
Sitkoff on the Securities and Exchange Commission’s Request for Comment on the Names Rule for Mutual [read post]
Wills, Trusts & Estates Prof Blog - https://lawprofessors.typepad.com/trusts_estates_prof/
Securities and Exchange Commission awards $12 million to two whistleblowers who reported misconduct of registered broker dealer
11 Apr 2023, 1:44 pm by jeffreynewmanadmin
was more important to the investigation because Claimant 1’s information was received by the Commission [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and Exchange Commission charges former employee of online gambling company Penn INteractive Ventures with insider trading over parent company’s acquisition of Score Media
14 Jun 2022, 8:06 am by jeffreynewmanadmin
The Securities and Exchange Commission has leved insider trading charges against David Roda, a former [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors
15 Aug 2022, 7:53 am by Alan Rosca
fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged [read post]
Goldman, Scarlato & Penny P.C. Blog - https://investorlawyers.org
Proposal to Let Hedge Funds Hide Their Holdings Likely Going Down in Flames
23 Oct 2020, 8:11 am by Savage Villoch Law, PLLC
In July 2020, the Securities and Exchange Commission made a proposal to vastly change the reporting requirements [read post]
Savage Villoch Law - https://www.savagelaw.us/blog/
AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors
15 Aug 2022, 7:53 am by Alan Rosca
fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged [read post]
Investor Lawyers GSP - https://investorlawyers.org/investigations/
AOMT 2018-PB1 Investor Alert: Angel Oak Capital Advisors and Ashish Negandhi Sanctioned by the Securities and Exchange Commission for Allegedly Misleading Investors
15 Aug 2022, 7:53 am by Alan Rosca
fraud allegations brought by the Securities and Exchange Commission (SEC) in connection with alleged [read post]
Investor Lawyers News - https://investorlawyers.org/
U.S. Securities and Exchange Commission issues investor alert to identify theft and data breaches to your investment accounts due to significant spikes in cybercrime
17 Nov 2022, 12:25 pm by jeffreynewmanadmin
The United States Securities and Exchange Commission Office of Investor Education has recommended that [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Securities and exchange commission files charges against hedge fund EIA All Weather Alpha Fund LP and owner Andrew Middlebrooks for false statements about the fund’s performance and assets
9 Jun 2022, 11:40 am by jeffreynewmanadmin
The Securities and Exchange Commission has filed fraud charges against a Detroit-based hedge fund and [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
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. US DOJ also probing breach of 2019 settlement agreement
29 Jun 2022, 8:31 am by jeffreynewmanadmin
The Securities and Exchange Commission (SEC) has opened an investigation into Ericsson’s handling [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Oversight of the U.S. Securities and Exchange Commission
26 Sep 2017, 11:34 am
Securities and Exchange Commission, on Tuesday, September 26, 2017 Editor's Note: Jay Clayton is [read post]
The Harvard Law School Corporate Governance Blog - https://corpgov.law.harvard.edu/
Morgan Stanley to pay $35 million to settle allegations that it failed to protect client information according to the Securities & Exchange Commission
20 Sep 2022, 12:21 pm by jeffreynewmanadmin
The conduct violated a regulation that requires brokers and money managers to protect the security and [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
The Clients’ Waiver of Their Rights Under Regulation BI of the Securities and Exchange Commission
20 Feb 2020, 9:01 pm by Tamar Frankel
The Securities and Exchange Commission (SEC) recently passed Regulation Best Interest (Regulation BI) [read post]
Verdict - http://verdict.justia.com/