Securities and Exchange Commission (SEC) on March 22, 2004 against Cedric Kushner Promotions, including its CEO, principal financial and accounting officer and one of its directors. Cedric Kushner allegedly violated the antifraud, recordkeeping, internal controls and reporting provisions of the federal...
Recent SEC Enforcement ActionsAccount. At the same time, they allocated unprofitable trades to advisory clients. Over a multi-year period, this cherry- picking scheme provided them with a $4.5 million gain while passing over $9 million of losses onto advisory clients. Mr. Brown and the others...
Peter Hong and Lawrence Stadulis Serve as Panelists for Strafford Webinar Focused on Recent SEC Enforcement Actions and Guidance June 25, 2020 Firm News PHILADELPHIA– Stradley Ronon Partners Peter M. Hong andLawrence P. Stadulisserved as panelists for Strafford’s webinar, “Finders and Unregiste...
The number of FCPA enforcement actions against multinational companies resolved by the SEC grew from three in 2004 to 31 in 2010. Actions initiated by the SEC and the DOJ against company officials, including a few chief audit ... AG Holzinger 被引量: 0发表: 2012年 加载更多站...
The OCIE communications come on the heels of the SEC’s first enforcement action last fall against a firm with deficient cybersecurity procedures. These recent risk alerts bear out what my colleagues Alan Brill and Ken Joseph noted at the time about the SEC’s expectations: that companies should...
ENFORCEMENT ACTIONS UNITED STATES SEC Closes Ethereum 2.0 Investigation On June 18, the SEC’s Enforcement Division notified Consensys that it was concluding its investigation into Ethereum 2.0 and that it would not recommend pursuing an enforcement action against Consensys on that basis. Consensys ...
Sec. 1. As used in this chapter: (g) “Vehicle” means that term as defined in section 79 of the Michigan vehicle code, 1949 PA 300, MCL 257.79. (below) MICHIGAN VEHICLE CODE (EXCERPT) Act 300 of 1949 Sec. 79. “Vehicle” means every device in, upon, or by which any person or...
//natlawreview.com/article/out-bang-president-biden-ends-final-week-office-three-ai-actions-ai-washington Fri, 17 Jan 2025 17:39:19 -0600 Mintz 283981 at https://natlawreview.com/article/out-bang-president-biden-ends-final-week-office-three-ai-actions-ai-washington https://natlawreview....
ENFORCEMENT ACTIONS UNITED STATES SDNY Hears Coinbase Motion Seeking to End SEC Lawsuit On January 17, the United States District Court for the Southern District of New York heard arguments on Coinbase’s motion for judgment on the pleadings in the enforcement action that the SEC has brought ag...
DFS's recent activity and initiatives suggest it will continue to pursue its interest in investigating emerging growth areas and trends, its desire to push its reforms and regulations as models for other jurisdictions, and its wide-ranging enforcement actions and remedies. Legal and complian...