Sentences with phrase «violating federal securities laws»

In the high - flying corporate world, employees from time to time suspect that a colleague or boss may be violating federal securities laws.

The Breitmans have been being accused of violating federal securities laws and defrauding their ICO's contributors, since they have yet to launch their proposed smart contracts network, and allegedly selling unregistered securities, in the form of their unreleased native «tezzies» token, to contributors.

Netflix and certain of its executives are charged with failing to disclose material information during the Class Period, violating federal securities laws.

The action, which was filed in the United States District Court for the District of New Jersey, alleges that the Company violated federal securities laws.

The action, which was filed in the United States District Court for the Southern District of New York, alleges that the Company violated federal securities laws.

Today, USMA Law Group announced that it too is investigating whether LongFin «and certain of its officers and directors violated federal securities laws.»

Although no executive was charged in the cases, JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

The complaint alleges that Telefonaktiebolaget LM Ericsson violated federal securities laws by issuing materially false and / or misleading information and / or failing to disclose material information.

And under the settlement deal with the S.E.C., JPMorgan took the unusual step of acknowledging that it had violated federal securities laws.

Referring to a draft article co-authored by Gallagher which suggests that proposals drafted by Harvard Law School's Shareholder Rights Project may constitute a violation of SEC rules, Minow quotes Columbia law professor Robert Jackson, who wrote, «It is wildly inappropriate for a sitting SEC commissioner to issue a law review paper accusing a private party of violating federal securities law without any investigation or due process of any kind.

The Match Group is getting sued after being accused of violating federal securities law in connection with last year's IPO.

The lead plaintiffs alleged that MDC had, inter alia, violated federal securities laws in the manner by which it disclosed certain executive compensation, and in its calculation and presentation of goodwill and the non-GAAP financial metric, EBITDA.

The inquiries, still in their early stages, center on whether Apple may have violated federal securities laws.

According to the SEC, the three illegally sold their restricted shares on the public market when Longfin's stock was on the rise.These sales violated federal securities laws, the SEC claims, which restrict company affiliates from publicly trading unregistered shares.

Also in May, the law firm of Bronstein, Gewirtz & Grossman LCC announced that it was investigating potential claims on behalf of purchasers of the ALC securities, determining whether the company and certain officers and directors violated federal securities laws.

Not exact matches

Cummings said in the letter, which he wrote with the top Democrat on the House Foreign Affairs Committee, Rep. Eliot Engel, that «it appears that General Flynn violated federal law by omitting this trip and these foreign contacts from his security clearance renewal application in 2016 and concealing them from security clearance investigators who interviewed him as part of the background check process.»

The prosecutors, according to JPMorgan's quarterly regulatory filing in August, had «preliminarily concluded» that the bank «violated certain federal securities laws.»

A CFPB spokesperson said in an email to Vox that the bureau is authorized to take «supervisory and enforcement action against certain institutions engaged in unfair, deceptive, or abusive acts or practices, or that otherwise violate federal consumer financial laws,» including the failure of institutions to engage in «reasonable data security practices» in connection with consumer report information.

The SEC's complaint charges Lacroix, Paradis - Royer, and PlexCorps with violating the anti-fraud provisions, and Lacroix and PlexCorps with violating the registration provision, of the U.S. federal securities laws.

Only the FBI should conduct domestic security investigations which are aimed at acts that violate federal laws.

The complaints allege that between 1999 and 2001 a number of stock option grants were backdated, and that as a result the defendants breached their fiduciary duties to Ditech Networks and violated provisions of federal securities laws and California statutory and common law.

You will not, and will not allow or authorize others to, use the Services or the Sites to take any actions that: (i) infringe on any third party's copyright, patent, trademark, trade secret or other proprietary rights or rights of publicity or privacy; (ii) violate any applicable law, statute, ordinance or regulation (including those regarding export control); (iii) are defamatory, trade libelous, threatening, harassing, invasive of privacy, stalking, harassment, abusive, tortuous, hateful, discriminatory based on race, ethnicity, gender, sex or disability, pornographic or obscene; (iv) interfere with or disrupt any services or equipment with the intent of causing an excessive or disproportionate load on the Animal League or its licensors or suppliers» infrastructure; (v) involve knowingly distributing viruses, Trojan horses, worms, or other similar harmful or deleterious programming routines; (vi) involve the preparation and / or distribution of «junk mail», «spam», «chain letters», «pyramid schemes» or other deceptive online marketing practices or any unsolicited bulk email or unsolicited commercial email or otherwise in a manner that violate the Controlling the Assault of Non-Solicited Pornography and Marketing Act (CAN - SPAM Act of 2003); (vii) would encourage conduct that could constitute a criminal offense, give rise to civil liability or otherwise violate any applicable local, state, federal or international laws, rules or regulations; (viii) involve the unauthorized entry to any machine accessible via the Services or interfere with the Sites or any servers or networks connected to the Sites or disobey any requirements, procedures, policies or regulations of networks connected to the Sites, or attempt to breach the security of or disrupt Internet communications on the Sites (including without limitation accessing data to which you are not the intended recipient or logging into a server or account for which you are not expressly authorized); (ix) impersonate any person or entity, including, without limitation, one of the Animal League's or other's officers or employees, or falsely state or otherwise misrepresent your affiliation with a person or entity; (x) forge headers or otherwise manipulate identifiers in order to disguise the origin of any information transmitted through the Sites; (xi) collect or store personal data about other Animal League members, Site users or attempt to gain access to other Animal League members information, or otherwise mine information about Animal League members, Site users, or the Sites; (xii) execute any form of network monitoring or run a network analyzer or packet sniffer or other technology to intercept, decode, mine or display any packets used to communicate between the Sites» servers or any data not intended for you; (xiii) attempt to circumvent authentication or security of any content, host, network or account («cracking») on or from the Sites; or (xiv) are contrary to the Animal League's public image, goodwill, reputation or mission or otherwise not in furtherance of the Animal Leagues stated purposes.

For example, let's imagine that a person feels that a state agency is using Federal information, like a social security number, in a way that violates Federal law.

k) intentionally or unintentionally violating any local, state, federal, national or international law, including, but not limited to, rules, guidelines, and / or regulations decreed by the U.S. Securities and Exchange Commission, in addition to any rules of any nation or other securities exchange, that would include without limitation, the New York Stock Exchange, the American Stock Exchange, or the NASDAQ, and any regulations having the forSecurities and Exchange Commission, in addition to any rules of any nation or other securities exchange, that would include without limitation, the New York Stock Exchange, the American Stock Exchange, or the NASDAQ, and any regulations having the forsecurities exchange, that would include without limitation, the New York Stock Exchange, the American Stock Exchange, or the NASDAQ, and any regulations having the force of law;

The Florida based company that claimed to be «creating a world connected to cryptocurrency» through their products has been charged with violating the anti-fraud and registration provisions of federal securities laws.

Earlier this month, reports emerged that the SEC had issued as many as 80 subpoenas to ICO operators and advisers, seeking to investigate whether they had violated federal laws by holding unregistered securities offerings.

It charges Lacroix, Paradis - Royer and PlexCorps with violating the anti-fraud provisions, and Lacroix and PlexCorps with violating the registration provision, of the US federal securities laws.

The SEC's complaint was filed in federal court in the Southern District of New York and officially charges Sharma and Farkas with violating the anti-fraud and registration provisions of the federal securities laws.

Today, the Securities and Exchange Commission (SEC) announced in an official report that civil actions were being brought against two companies for violating anti-fraud and registration provisions of federal securiSecurities and Exchange Commission (SEC) announced in an official report that civil actions were being brought against two companies for violating anti-fraud and registration provisions of federal securitiessecurities laws.

Analyzed intelligence information gathered from electronic law enforcement databases, other records and interviewing to detain, deport, or arrest persons who are committing fraud, violating Federal, immigration, customs, other laws, or are a threat to national security