How To Use Securities law In A Sentence
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He had pleaded guilty in 1987 to tax evasion and the violation of securities laws.
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Still, an experienced securities lawyer should be retained to advise on deal terms.
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This kind of deception is illegal under federal securities law because it fools investors into investing in a company which is far less sound than its books suggest.
Wonk Room » Bill Would Restore Accountability To Companies Who Enable Fraud
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Companies should consult with counsel about the application of corporate and securities laws to the issuance of new stock.
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That sort of bait-and-switch is likely to be more difficult if the new securities law that came into force last year (after seven years of drafting) has the desired impact.
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Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause?
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P.S. Is everybody enjoying the detour into securities law?
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A group of investors sued Matrixx for a "material" misrepresentation and omission under federal securities law because the company did not publicly report that medical researchers in the early 2000s had traced Zicam to the loss of smell, known as anosmia, and that related lawsuits against the company had been filed.
Court sides with investors on disclosing drug reactions
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The securities laws now provide that a firm must segregate its customers' moneys and hold them in a separate client account.
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Disclosure of material nonpublic information on a publicly traded company's blog could be deemed a prohibited selective disclosure under federal securities laws.
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Has a firm or company registered under the securities laws of any jurisdiction as a securities dealer, broker, investment advisor or underwriter, suspended or terminated your employment for cause?
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The tax evader skimming unreported income into an offshore account; the briber shuffling funds to the bribee; the violator of the securities laws squirreling away illegal profits; the insecure politician or government official building a retirement fund abroad; the businessman fleeing his creditors; the husband fleeing his wife; the law-abiding citizen fleeing exposure to political or economic risk.
Economic Principals
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The word "termination" often means there's more digging to do, says Marc Dobin , a securities lawyer in Jupiter, Fla.
Digging Up Dirt. And Deciphering It.
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No financial penalties were imposed, but the men were ordered not to violate securities laws in the future.
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Banks falling under the securities laws are obviously subject to both banking and securities regulation.
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Other branches of public law include securities laws, labor laws, and antitrust laws.