SEC Enforcement Action definition

SEC Enforcement Action means the civil lawsuit commenced by the United States Securities and Exchange Commission on March 2, 2009 and pending as Securities and Exchange Commission v. Sunwest Management, Inc. et al., United States District Court for the District of Oregon, Case No. 6:09-CV-6056.
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SEC Enforcement Action means the civil lawsuit commenced by the Securities and Exchange Commission and pending as Securities and Exchange Commission v. Sunwest Management, Inc., et al., United States District Court for the District of Oregon Case No. 6:09-cv-6056-HO.
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Examples of SEC Enforcement Action in a sentence

  • Comm’n, Putnam Agrees to Pay $55 Million to Resolve SEC Enforcement Action Related to Market Timing by Portfolio Managers, S.E.C. 04-49, 2004 WL 762426 (Apr.

  • The SEC Enforcement Action and the Appointment of the Receiver As noted in the introduction, in March 2016, the SEC filed the above-captioned action, alleging violations of federal securities law by certain individuals who controlled the Aequitas Enterprise.

  • In addition to the Aequitas entities named as Defendants in the SEC Enforcement Action, Jesenik, Oliver, and Gillis controlled various other Aequitas subsidiaries and/or majority owned affiliates (or their predecessors in interest).

  • Press Release, SEC, Xerox Settles SEC Enforcement Action Charging Company With Fraud (Apr.

  • These holding companies, and their subsidiaries, the asset companies, were generally subsidiaries of Aequitas Commercial Finance, LLC (“ACF”) or its parent, Aequitas Holdings LLC (“AH”), both of which are named defendants in the SEC Enforcement Action.

  • We know that you are busy, but the time you spend helping your child to be a better student is one of the most important investments you can make.

  • Moreover, even if the court were to assume that these were “findings,” they were disputed in the SEC Enforcement Action.

  • Godwin Pappas also posits that Reneker is barred by judicial estoppel from contending that the AmeriFirst Clients did not intentionally mislead or victimize investors because of statements made by Brown, the receiver in the SEC Enforcement Action.

  • The court considers first the extent to which it can take judicial notice of the Disgorgement and Penalties Opinion and the Bruteyn Criminal Case, and occurrences and positions taken in the SEC Enforcement Action.

  • The SEC Enforcement Action, while related to this case, does not involve precisely the same parties and issues, and the court therefore concludes that it cannot apply any particular factual finding from that case to this motion to dismiss.

Related to SEC Enforcement Action

  • Enforcement Action means any action of any kind to:

  • law enforcement means the prevention, detection or investigation of terrorist offences or other serious criminal offences;

  • Law enforcement unit means an individual office, department, division, or other component of an education agency or institution that is officially authorized or designated by that agency or institution to (1) enforce laws or refer matters of law enforcement to appropriate authorities, or (2) maintain the physical security and safety of the agency or institution.

  • Support enforcement agency means a public official or agency authorized to seek:

  • Law enforcement agency means an agency of the state, or of a county, municipality, or other political subdivision of the state, that employs peace officers who make traffic stops in the routine performance of the officers' official duties.

  • Post-Enforcement Priority of Payments means the order of priority pursuant to which the Guarantor Available Funds shall be applied on each Guarantor Payment Date, following the delivery of a Guarantor Default Notice, in accordance with the Intercreditor Agreement.

  • Local law enforcement agency means the police of a city, town, village or other incorporated area or the sheriff of an unincorporated area or any sworn officer of the Illinois Department of State Police.

  • Trust Enforcement Event in respect of the Securities means an Indenture Event of Default has occurred and is continuing in respect of the Debentures.

  • Compliance Enforcement Authority means NERC or the Regional Entity, or any entity as otherwise designated by an Applicable Governmental Authority, in their respective roles of monitoring and/or enforcing compliance with mandatory and enforceable Reliability Standards in their respective jurisdictions.

  • law enforcement authority means any authority responsible for preventing, detecting, investigating, combating and punishing criminal offences, including, but not limited to, the police, any prosecutor, any judicial authority, any public or private prison authority and, where appropriate, any of the state security forces and military authorities;

  • Civil Enforcement Officer means a person authorised by or on behalf of Lancashire County Council in accordance with Section 76 of the Traffic Management Act 2004;

  • Drug enforcement administration means the drug enforcement

  • Legal Action means and includes any claim, counterclaim, demand, action, suit, counterclaim, arbitration, inquiry, proceeding or investigation before any

  • Code enforcement officer means the Code Enforcement Officer appointed pursuant to subdivision (b) of section 3 of this local law.

  • Law enforcement officer means any officer authorized to direct or regulate traffic or to make

  • Legitimate law enforcement purpose means a goal within the lawful authority of an officer that is to be achieved through methods or conduct condoned by the officer’s appointing authority.

  • Bylaw Enforcement Officer means a person or persons appointed from time to time by resolution of City Council pursuant to Section 36 of the Police Act, the purpose of which is to enforce regulatory bylaws of the municipality.

  • By-law Enforcement Officer means a municipal law enforcement officer of the Corporation of the County of Prince Edward who is duly appointed by the Council of the Corporation for the purpose of enforcing the provisions of the Corporation’s By-laws.

  • Litigation Claims means the claims, rights of action, suits or proceedings, whether in law or in equity, whether known or unknown, that any Debtor or any Estate may hold against any Person or Entity, including, without limitation, the Causes of Action of the Debtors or their Estates, in each case solely to the extent of the Debtors’ or their Estates’ interest therein. A non-exclusive list of the Litigation Claims held by the Debtors as of the Effective Date will be Filed with the Plan Supplement, which will be deemed to include any derivative actions filed against any Debtor as of the Effective Date.

  • Infringement Action has the meaning set forth in Section 9.6(b).

  • Law enforcement support staff member means a person who serves

  • Regulatory Proceeding means a request for information, civil investigative demand, or civil proceeding commenced by service of a complaint or similar proceeding brought by or on behalf of the Federal Trade Commission, Federal Communications Commission, or any federal, state, local or foreign governmental entity in such entity’s regulatory or official capacity in connection with such proceeding.

  • Law enforcement official has the same meaning as the term "law enforcement official" at 45 C.F.R. § 164.103.

  • Tort action means a civil action for damages for injury, death, or loss to person or property other than a civil action for damages for a breach of contract or another agreement between persons or government entities.

  • Adjudicatory proceeding means a contested case, a proceeding that may culminate in a contested case, a petition for declaratory order, a petition for expedited resolution of a negotiability dispute, or any other proceeding which may require the board or its designee to issue a decision, order, or ruling.

  • Causes of Action means any action, claim, Claim, cause of action, controversy, demand, right, action, Lien, indemnity, Interest, guaranty, suit, obligation, liability, damage, judgment, account, defense, offset, power, privilege, license, and franchise of any kind or character whatsoever, whether known, unknown, contingent or non-contingent, matured or unmatured, suspected or unsuspected, liquidated or unliquidated, disputed or undisputed, secured or unsecured, assertable directly or derivatively, whether arising before, on, or after the Petition Date, in contract or in tort, in law, or in equity or pursuant to any other theory of law. For the avoidance of doubt, “Cause of Action” includes: (a) any right of setoff, counterclaim, or recoupment and any claim for breach of contract or for breach of duties imposed by law or in equity; (b) the right to object to Claims or Interests; (c) any Claim pursuant to section 362 or chapter 5 of the Bankruptcy Code; (d) any claim or defense including fraud, mistake, duress, and usury; and any other defenses set forth in section 558 of the Bankruptcy Code; and (e) any state or foreign law fraudulent transfer or similar claim.