District of New York in the civil action entitled Securities and Exchange Commission v. Drexel Burnham Lambert Incorporated, et al., r

E INCLUDED IN A REGISTRATION STATEMENT FILED WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION. THIS MEMORANDUM CONTAINS PROJECTIONS FOR KLC AN

f Justice and the Enforcement Division of the US. Securities and Exchange Commission. It is non-binding, informal, and summary in natu

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y IND-X Advisors Limited (“IND-X”). IND-X is regulated by the Hong Kong Securities and Futures Commission and is a registered investment advisor with the U.S. Securities and Exchange Commission. This message is intended for the addressee only and may contain private and confidential information or material which may be privileged. If it has

nk, Mr. Kelly held senior positions at both Charles Schwab & Co. and Merrill Lynch & Co, Inc. Before joining the private sector, Mr. Kelly served at the U.S. Securities and Exchange Commission as Chief Spokesman as well as the US Department of Justice as Assistant to the Director for Policy Development. Prior to these posts, he served in b

elly held senior executive positions at both Charles Schwab & Co. and Merrill Lynch & Co, Inc. Before joining the private sector, Mr. Kelly served at the U.S. Securities and Exchange Commission as Chief Spokesman as well as the U.S. Department of Justice as Assistant to the Director for Policy Development where he focused on international ma

ble beauty products collaboration, according to a Securities and Exchange Commission filing. </td> </tr> <tr> <td style="padding

ddf9c241c61e6e0Bfeb6475e">reportedly facing</a> a Securities and Exchange Commission investigation related to its disclosures around i

Relationship with Us As a wealth management firm providing services to clients in the United States, UBS Financial Services Inc. is registered with the U.S. Securities and Exchange Commission (SEC) as a broker-dealer and an investment adviser, offering both brokerage and investment advisory services. When we act as a broker-dealer, we w

sclosures therefore weren't misleading or inaccurate. Motion attached I Read full article » SEC Says There's 'No Dispute' Biotech Brass Broke Law The U.S. Securities and Exchange Commission on Friday sought partial judgments against the chief executive officer and chief financial officer of biotechnology company Osiris Therapeutics Inc

workspace company has argued. Memorandum attached I Read full article » SECURITIES & WHITE COLLAR SEC Seeks Sanctions For CEO Of Memorabilia Biz The U.S. Securities and Exchange Commission asked a New York federal judge Friday to sanction the CEO of a sports memorabilia auction company and his wife for violating a temporary restrainin

l was more than enough to support the verdict. Opinion attached I Read full article » SEC Settles With Rabbi For Bilking Jewish Investors Of $10M The U.S. Securities and Exchange Commission on Monday announced a judgment against Rabbi Zvi Feiner and his two companies for allegedly conning at least 62 investors in Chicago's Orthodox Jew

ying that they could be finished with the project by next year. Read full article » SEC Says ICO Doesn't Need To Register As Security Officials at the U.S. Securities and Exchange Commission issued a no-action letter Wednesday allowing an unregistered initial coin offering to proceed, finding it didn't meet the definition of a security

quired evidence were enough to receive a new trial. Opinion attached [ Read full article » SEC Seeks $6.4M From Duo In Cannabis Investment Scheme The U.S. Securities and Exchange Commission wants a self-styled movie producer and his business partner to pay nearly $6.4 million for allegedly defrauding investors out of $4.85 million in a

,000 a year coaching at Auburn University. 2 documents attached I Read full article » SEC Accuses 'Experienced' Securities Atty Of Trading Scheme The U.S. Securities and Exchange Commission is accusing an "experienced securities lawyer" of carrying out a multimillion-dollar scheme to sell unregistered penny stock shares, according to a

ent for many investment advisers to register with the U.S. Securities and Exchange Commission (“SEC”), one of the requirements of The Dodd—Fran

ecurities and commercial mortgage-backed securities. 2 documents attached I Read full article » SEC Settles With Broker In Woodbridge Ponzi Scheme The U.S. Securities and Exchange Commission settled claims Monday with a Tennessee-based broker the agency accused of selling unregistered securities in connection with two Ponzi schemes, inc

, (ii) have limited trading volume and liquidity, (iii) have significant price volatility, and (iv) have little or no institutional investor support. The U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have historically expressed concerns regarding the “penny” stock industry in general an