Author: Publisher: DIANE Publishing
ISBN: 1457803720
Category :
Languages : en
Pages : 23
Book Description
Securities and Exchange Commission Litigation Complaint: December 12, 2006
Author: Publisher: DIANE Publishing
ISBN: 1457803720
Category :
Languages : en
Pages : 23
Book Description
Model Rules of Professional Conduct
Author: American Bar Association. House of DelegatesPublisher: American Bar Association
ISBN: 9781590318737
Category : Law
Languages : en
Pages : 216
Book Description
The Model Rules of Professional Conduct provides an up-to-date resource for information on legal ethics. Federal, state and local courts in all jurisdictions look to the Rules for guidance in solving lawyer malpractice cases, disciplinary actions, disqualification issues, sanctions questions and much more. In this volume, black-letter Rules of Professional Conduct are followed by numbered Comments that explain each Rule's purpose and provide suggestions for its practical application. The Rules will help you identify proper conduct in a variety of given situations, review those instances where discretionary action is possible, and define the nature of the relationship between you and your clients, colleagues and the courts.
Thomas P. Flanagan and Patrick T. Flanagan: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457811359
Category :
Languages : en
Pages : 29
Book Description
SEC Docket
Author: United States. Securities and Exchange CommissionPublisher:
ISBN:
Category : Securities
Languages : en
Pages : 1248
Book Description
Robert L. Hollier and Wayne A. Dupuis: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457808935
Category :
Languages : en
Pages : 12
Book Description
Angelo Mozilo, David Sambol, and Eric Sieracki: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457808919
Category :
Languages : en
Pages : 53
Book Description
Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Author: H. David KotzPublisher: DIANE Publishing
ISBN: 1437921868
Category : Biography & Autobiography
Languages : en
Pages : 477
Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.
Vinayak S. Gowrish, Adnan S. Zaman, Pascal S. Vaghar, Sameer N. Khoury, Defendants, and Elias N. Khoury, Relief Defendant: Securities and Exchange Commission Litigation Complaint
Author: Publisher: DIANE Publishing
ISBN: 1457810239
Category :
Languages : en
Pages : 16
Book Description
Practices Related to Naked Short Selling Complaints and Referrals
Author: H. David KotzPublisher: DIANE Publishing
ISBN: 1437921760
Category : Business & Economics
Languages : en
Pages : 55
Book Description
Final report on an audit conducted by the SEC detailing the results of the audit on the Div. of Enforcement¿s (DE) policies, procedures, and practices for processing complaints about ¿naked short selling.¿ Naked short selling (i.e., intentionally failing to borrow and deliver shares sold short in order to drive down the stock price) violates the fed. securities laws. Numerous complaints, particularly since Dec. 2007, alleged that the DE failed to take sufficient action regarding naked short selling, causing investors and companies to lose billions of dollars. This audit examined DE¿s general complaint receipt and processing procedures as they applied to the receipt and referral of naked short selling complaints. Includes recommendations.
Promising Genomics
Author: Michael FortunPublisher: Univ of California Press
ISBN: 0520247515
Category : Medical
Languages : en
Pages : 341
Book Description
Part detective story, part exposé and part travelogue, this book investigates one of the signature biotech stories of our time and, in doing so, opens a window onto the world of genome science. Fortun examines how deCODE Genetics in Iceland became one of the wealthiest, and most scandalous, companies of its kind.