Insights
September 19, 2013
A HuffingtonPost.com article reports the SEC is proposing a new, and hotly debated, disclosure rule for CEOs. The rule, which is actually required under the Dodd-Frank Act, will force corporations to ...
August 27, 2013
According to an SEC press release , former portfolio manager Carl Johns was sanctioned for forging documents and misleading his former firm’s chief compliance officer about his personal trades. ...
August 22, 2013
A recent press release stated that the SEC issued a stop order against Counseling International. The stop order prevented the company from offering their shares to the public. The rationale behind the...
July 10, 2013
The SEC Commission approved the Jumpstart Our Business Startups Act and the lifting of the ban on general solicitation according to the recent SEC press release . The JOBS Act is related to securities...
May 2, 2013
Armed with an argument for protecting investors’ rights, SEC member Luis Aguilar went before the North America Securities Administrators Association’s annual conference in Washington, D.C ...
April 11, 2013
A recent press by the Secretary of State for the State of Mississippi announced that the SEC has published their proposed plan for fund distribution to those injured by Morgan Keegan investments. This...
April 2, 2013
According to a FINRA press release, broker Jeffrey Rubin of Lighthouse Point, Florida, is barred from the securities industry for making unsuitable recommendations to invest in illiquid, high-risk sec...
March 13, 2013
Saba Software, Saba, a provider of cloud computing software used for training and conferencing, recently announced that it received a letter from NASDAQ indicating the Company’s ongoing failure ...
March 1, 2013
Just a few weeks after the 11th Circuit Court ordered Morgan Keegan to buy back more of their ultra-risky auction rate securities, Raymond James dropped the name Morgan Keegan altogether. In November ...
February 21, 2013
A putative Class Action Complaint was filed in the United States District Court for the District of Massachusetts for Timothy Kelley (an ex-participant in the Avanade and Hewlett-Packard 401(k) plans)...
February 13, 2013
Trial Court Judge Jed Rakoff is accused of exceeding his authority in rejecting a settlement reached by the SEC and Citigroup. The settlement came after the SEC initiated a civil fraud action against ...
February 7, 2013
Notice to Morgan Keegan Customers Who Invested In the RMK Closed-End Bond Funds: The Law Firm of The Frankowski Firm, LLC Urges You to Fully Explore Your Legal Options Regarding the Proposed Class Act...
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