Sentences with phrase «violation of the federal securities laws»

The situation is complicated by at least 7 class actions against the company for violations of federal securities laws.

The SEC said it's looking into potential violations of the federal securities laws related to Iconix's financial reporting.

The SEC said it's looking into potential violations of federal securities laws related to Iconix's financial reporting.

How Insight Predict's Unique Capabilities Cut Review by Two Thirds In a major shareholder class action alleging violations of federal securities laws, the defendant's legal team was under a tight deadline to review a collection of mixed English and Spanish documents.

«ICOs represent the most pervasive, open and notorious violation of federal securities laws since the Code of Hammurabi... We're waiting to see a whole bunch of enforcement actions in this space, and we wonder why they haven't happened yet.

Regulation «ICOs represent the most pervasive, open and notorious violation of federal securities laws since the Code of Hammurabi,» an outraged former commissioner of the Securities and Exchange Commission (SEC) told the New York Times in a

Prior to joining Proskauer, Josh was senior counsel in the US Securities and Exchange Commission's division of enforcement, where he investigated and prosecuted violations of the federal securities laws.

Representation of audit committee of a publicly traded company in a corporate investigation involving potential violations of federal securities laws regarding insider trading

Some participants in the crypto community apparently mistook these actions as suggesting that the SEC would continue to be gentle, perhaps by essentially «grandfathering» pre-existing token sales, regardless of their lack of compliance with the federal securities laws, or by pursuing only the most egregious violations of federal securities laws, such as those involving token issuers engaging in garden - variety fraud.

U.S. participants in unregistered offerings may be held liable for violations of the federal securities laws.

Perhaps in order to bolster other contentions made in the filing, the suit alleges that the defendants «offered and sold» XRB tokens as «unregistered securities in violation of the federal securities law.»

How Insight Predict's Unique Capabilities Cut Review by Two Thirds In a major shareholder class action alleging violations of federal securities laws, the defendant's legal team was under a tight deadline... >>

The SEC said it is investigating potential violations of federal securities laws related to the financial reporting of New York - based Iconix Brand Group Inc., which paid Carter more than $ 200 million to acquire intangible assets associated with Carter's Rocawear apparel brand.

Overstock has disclosed that US regulators are probing the $ 250 million tZero initial coin offering (ICO) for potential violations of federal securities laws.

They allege «violations of the federal securities laws in connection with statements regarding our cybersecurity systems and controls» and are seeking «unspecified monetary damages, costs and attorneys» fees.»

Plaintiff seeks to recover compensable damages caused by Defendants» violations of the federal securities laws and to pursue remedies under Sections 10 (b) and 20 (a) of the Securities Exchange Act of 1934 (the «Exchange Act») and Rule 10b - 5 promulgated thereunder.

Carton is a former Senior Counsel with the SEC's Division of Enforcement, where he investigated and brought cases for violations of the federal securities laws.

Ultimately, Clayton demurred when asked how the SEC would enforce its regulations, saying that there are both public and private solutions for violations of federal securities laws.

Regulators previously «recommended enforcement actions against those that conduct initial coin offerings in violation of the federal securities laws,» according to the SEC.

«While the SEC is trying to determine whether there have been any violations of the federal securities laws, the investigation does not mean that the SEC has concluded that anyone has violated the law.

The Trader had pled guilty to violations of federal securities law, and the Commission was now trying to recover the Trader's assets in order to compensate the victims of the Ponzi scheme.