... Chinese Investors. Litigation Release No. 24366 / December 6, 2018. Securities and Exchange Commission v. Chen et al., 2:17-cv-06929 (C.D.C.A. filed Sept.
Dec 20, 2018 ... Company Filings | More Search Options ... Securities and Exchange Commission v. ... The Securities and Exchange Commission today announced that it has ... 2015 Commission order barring him from association with an investment ... Walter Grenda continued to associate with Grenda Group, LLC - an ...
Mar 5, 2009 ... Securities and Exchange Commission v. Diversified Lending Group, Inc., et al., United States District Court for the Central District of ... citizens, by promising guaranteed high returns through real estate-related investments.
Jul 15, 1974 ... v. KOSCOT INTERPLANETARY, INC., et al., Defendants-Appellees. ... denying an injunction sought by the Securities & Exchange Commission (SEC) ... An investment of $5,000 with Koscot entitles a distributor to purchase ... to be earned by high-pressure recruiting of other persons into the Koscot program, ...
CHENERY CORPORATION et al. ... This plan, proposing a merger of Federal, Utility Operators Company, and ... the interest of investors' within § 7 of the Act, the Commission found that it could ... 421, 441, 5 L.Ed. 651; Southern Pacific Co. v. ..... cogent reasons and thoroughly consistent with the high standards of conduct ...
Because all class members had an interest in proving the retailer's stock was ... Citing the U.S. Supreme Court's statement in Halliburton Co. v. ... predominantly high-fee, actively managed mutual fund investment options ... Etsy Inc., et al., No. ... commerce company violated Section 10(b) of the Securities Exchange Act by ...
In Re: Oblate Sisters of the Most Holy Redeemer, Inc. SR. ALMA P. QUISTO, OSR ET. AL. Appellant, - versus - JOSE RAFAEL HERNANDEZ ET.AL., Appellee.
V. How Does an Investment Adviser Register Under the Advisers Act? . ..... advisers by the U.S. Securities and Exchange Commission (“SEC”). ..... Investment clubs may also be subject to the Investment Company Act. See Frank ...... mutual fund account); McKenzie Walker Investment Mgmt., Inc, et al., ...... William Lee Parks,.
The Securities and Exchange Commission (“SEC”) and its staff have devoted ... Finally, Part V briefly reviews the SEC staff's focus on advertising in the course of ... the investment company's adviser for purposes of the SEC Advertising Rule so ...... In this case, In re Market Timing Systems, Inc. et al., Advisers Act Release No.