Securities Fraud Deterrence and Investor Restitution Act

Results: 236



#Item
11Government / United States securities law / Fair Fund / U.S. Securities and Exchange Commission / Finance / Sarbanes–Oxley Act / Securities and Exchange Commission / Disgorgement / Securities Fraud Deterrence and Investor Restitution Act / Corporate crime / Business / United States Securities and Exchange Commission

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release NoApril 30, 2015 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2015-04-30 12:27:59
12Disgorgement / Securities Fraud Deterrence and Investor Restitution Act / Corporate crime / Fair Fund / United States Securities and Exchange Commission

John W. Adams and AIP, LLC

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Source URL: www.sec.gov

Language: English - Date: 2015-05-07 17:14:15
13Disgorgement / Securities Exchange Act / U.S. Securities and Exchange Commission / Government / Financial regulation / Securities Fraud Deterrence and Investor Restitution Act / United States / United States securities law / United States Securities and Exchange Commission / Corporate crime

INITIAL DECISION RELEASE NO. 753 ADMINISTRATIVE PROCEEDING FILE NOUNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

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Source URL: www.sec.gov

Language: English - Date: 2015-03-11 16:18:18
14Securities Exchange Act / Financial regulation / Securities Fraud Deterrence and Investor Restitution Act / United States Securities and Exchange Commission / Corporate crime / Fair Fund

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 23, 2015

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Source URL: www.sec.gov

Language: English - Date: 2015-03-23 17:11:27
15Government / Disgorgement / Securities and Exchange Commission / Securities Commission / Securities Exchange Act / Politics / Mutual fund scandal / Securities Fraud Deterrence and Investor Restitution Act / United States Securities and Exchange Commission / Corporate crime / Fair Fund

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]March 17, 2015

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Source URL: www.sec.gov

Language: English - Date: 2015-03-17 16:25:58
16Judgment / Securities Fraud Deterrence and Investor Restitution Act / Mutual fund scandal / Federal Rules of Civil Procedure / Fair Fund / Lawsuit

Case 1:12-cv[removed]MLW Document 123 Filed[removed]Page 1 of 5 Case 1:12-cv[removed]MLW Document 121 Filed[removed]Page 1 of 5 UNITED STATES DISTRICT COURT DISTRICT OF MASSACHUSETTS SECURITIES AND EXCHANGE

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Source URL: www.sec.gov

Language: English - Date: 2015-03-25 12:50:41
17Stock market / United States Securities and Exchange Commission / Financial services / Securities / Securities Act / Collective investment scheme / Security / Prospectus / Securities Fraud Deterrence and Investor Restitution Act / Financial economics / Investment / Finance

The text below is an internet version of the Rules made by the Financial Services Commission under section 93 of the Financial Services Act 2007 and section 155 of the Securities Act 2005 and is for information purpose o

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Source URL: www.stockexchangeofmauritius.com

Language: English - Date: 2013-08-28 01:13:46
18Financial regulation / 73rd United States Congress / United States Securities and Exchange Commission / Government / Economy of the United States / U.S. Securities and Exchange Commission / Securities Fraud Deterrence and Investor Restitution Act / United States securities law / Securities Commission of New Zealand / SEC filings

Microsoft Word - Disciplinary Rules Consultation

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Source URL: www.scb.gov.bs

Language: English - Date: 2014-06-13 14:30:30
19Investment Advisor / Securities Commission / Money / Business / Securities Fraud Deterrence and Investor Restitution Act / Canadian securities regulation / Finance / Financial adviser / Investment

SECURITIES COMMISSION OF THE BAHAMAS PUBLIC NOTICE No. 10 of 2011 July 25, 2011

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Source URL: www.scb.gov.bs

Language: English - Date: 2011-07-26 11:38:36
20Disgorgement / Escrow / Law / Finance / Economics / Securities Fraud Deterrence and Investor Restitution Act / Corporate crime / Fair Fund / United States Securities and Exchange Commission

Administrative Proceeding: American Skandia Investment Services, Inc.

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Source URL: www.sec.gov

Language: English - Date: 2010-08-16 16:45:30
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