Securities Law 
Pa. Securities Commission to become part of Banking Department – The Business Journal
Tom Corbett said Tuesday. In a statement, Corbett said the structure, duties and name of the Securities Commission will change on Oct. 1. He signed House Bill 2438 into law earlier this month. The law consolidates functions and positions located … Continue reading
Law Offices of Howard G. Smith Announces Investigation On Behalf of Investors of LIME ENERGY CO. – Marketwatch
Smith announces that it is investigating potential claims on behalf of investors of LIME ENERGY CO. (“Lime Energy” or the “Company”) (NASDAQ:LIME) concerning possible violations of federal securities laws. The investigation focuses on …
One securities regulator against the storm – Globe and Mail
In December’s ruling on the proposed Canadian Securities Act, the Supreme Court recognized that federal and provincial governments share responsibility for securities regulation. The court also suggested the means to establish a national securities …
Motley Rice Strengthens Securities Fraud And SEC Whistleblower Practice – YAHOO!
She is a published author and former faculty member at the Practising Law Institute’s Securities Litigation & Enforcement Institute and has also lectured at the Fordham University School of Law’s Eugene P. and Delia S. Murphy Conference on …
Citigroup’s Stoker Misled Investors, SEC Tells Jury – Bloomberg
The SEC claims that Brian Stoker negligently violated securities law in putting together the assets underlying a $1 billion collateralized debt obligation, or CDO, called “Class V Funding III.” “Brian Stoker made untrue statements and …
Law Office of Brodsky & Smith, LLC Announces Investigation of Barclays PLC – Investors Business Daily
BALA CYNWYD, Pa.–(BUSINESS WIRE)– Law office of Brodsky & Smith, LLC announces that it is investigating potential violations of the Securities Exchange Act of 1934 by Barclays PLC (“Barclays” or the “Company”) (NYSE: BCS). A class action lawsuit …
NM securities agency probing fake financial audit – CBS News
He also suggested that the law firm’s work could potentially interfere with pending investigations by the state auditor and the securities division. Clifford said it was “ill advised” to hire the firm, which could earn up to $750,000 for its … Continue reading
NM securities agency probing fake financial audit – AP – msnbc.com
A New Mexico financial regulator is investigating possible violations of state securities laws by a fake New Mexico Finance Authority audit being distributed to investors. The probe by the state Securities Division was announced Monday at a meeting of the … Continue reading
NM securities agency probing fake financial audit – AP – NBCNews.com
A New Mexico financial regulator is investigating possible violations of state securities laws by a fake New Mexico Finance Authority audit being distributed to investors. The probe by the state Securities Division was announced Monday at a meeting of the … Continue reading
NM securities agency probing fake financial audit – NBCNews.com
SANTA FE, N.M. — A New Mexico financial regulator is investigating possible violations of state securities laws by a fake New Mexico Finance Authority audit being distributed to investors. The probe by the state Securities Division was …
