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SEC to Consider Settlement Offers and Waiver Requests Simultaneously

By Steve Quinlivan on 07/03/2019

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Continue Reading SEC to Consider Settlement Offers and Waiver Requests Simultaneously

Posted in Litigation, Public Companies and Securities, Uncategorized

And Now Bad Actor Waivers for Forward-Looking Statements

By Steve Quinlivan on 05/21/2015

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Continue Reading And Now Bad Actor Waivers for Forward-Looking Statements

Posted in Litigation, Public Companies and Securities, Uncategorized

SEC Issues Policy on Bad Actor Waivers

By Steve Quinlivan on 03/14/2015

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Continue Reading SEC Issues Policy on Bad Actor Waivers

Posted in Litigation, Public Companies and Securities, Uncategorized

Bad Actor Disqualifications Are Not Sanction Enhancements

By Steve Quinlivan on 02/14/2015

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Continue Reading Bad Actor Disqualifications Are Not Sanction Enhancements

Posted in Litigation, Public Companies and Securities, Uncategorized

Bad Actor Waivers and Conditions – The Controversy Continues

By Steve Quinlivan on 02/04/2015

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Continue Reading Bad Actor Waivers and Conditions – The Controversy Continues

Posted in Broker-Dealer, Litigation, Public Companies and Securities, Uncategorized

SEC Grants Second Bad Actor Waiver With Conditions

By Steve Quinlivan on 01/27/2015

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Continue Reading SEC Grants Second Bad Actor Waiver With Conditions

Posted in Broker-Dealer, Litigation, Uncategorized

Rule 506 Bad Actor Waivers – The New Normal?

By Steve Quinlivan on 12/05/2014

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Continue Reading Rule 506 Bad Actor Waivers – The New Normal?

Posted in Banking, Broker-Dealer, Public Companies and Securities, Uncategorized

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