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Documents tagged with SIPA
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Nixon Signing SIPA Into Law Creating SIPC 12-30-70 'Just like the FDIC'
“I am signing today the Securities Investor Protection Act of 1970. This legislation establishes the Securities Investor Protection Corporation (SIPC), a private nonprofit corporation, which will i...
Rakoff Ruling Safe Harbor Opinion and Order
the Court grants the defendants' motion to dismiss all claims predicated on principles of preference or constructive fraud under the Bankruptcy Code, as well as all claims under New York law
SEC Opposition to SIPC Motion to Strike
This motion was filed by the SEC in response to SIPC's Motion to Strike the SEC's Motion to Show Cause as to why SIPC does not feel it has to follow the SEC's directive to initiate a SIPA liquidati...
SEC v SIPC Support of Application to enforce its statutory supervisory authority over SIPC
SECURITIES AND EXCHANGE COMMISSION'S MEMORANDUM OF POINTS AND AUTHORITIES IN SUPPORT OF APPLICATION
SIPA provides:
In the event of the refusal of SIPC to commit its funds or otherwise to act for ...
SEC Authority Over SIPC
This letter was submitted by the investors' counsel in the New Times Security SIPC case. SIPC had argued fictitious securities should be paid as claims for missing cash ($250K) instead of claims fo...
SIFMA's Pressure to Limite SIPC to SGC Customers
TO: FROM: DATE: RE:
SIPC Board of Directors Ira D. Hammerman General Counsel August 17, 2011 The Limits of SIPC Protection Executive Summary
On June 15, 2011, the Securities and Exchange Comm...
SVC Letter to SIFMA
December 2, 2011
Ira Hammerman, Esq. General Counsel Securities Industry and Financial Markets Association 1101 New York Ave NW # 800 Washington D.C., DC 20005-4279 Re: SIFMA’s August 2011 Memo ...
IC Request to SEC Re SIPC
This letter from the Stanford Investors Committee urges the SEC to file an application with the District Court in Washington, D.C. to compel SIPC to discharge its obligations under the Securities I...
SIFMA's Very Limited View of SIPC Protection
This legal brief was submitted by SIFMA to the SIPC Board of Directors advising them to reject the SEC's recommendation to SIPC to liquidate Stanford Group Company under the Securities Investor Pro...
Stanford Victims Coalition Letter to SIFMA
This letter was sent by the Stanford Victims Coaltion to Ira Hammerman, the General Counsel for the Securities Industry and Financial Market Association (SIFMA) in response to SIFMA's recommendatio...
Investors Commitee Request to SEC to sue SIPC
This letter from the Stanford Investors Committee urges the SEC to file an application with the District Court in Washington, D.C. to compel SIPC to discharge its obligations under the Securities I...
DOMINIC A. VISCONSI, SR., et al., LEHMAN BROTHERS, INC., et al.
Plaintiffs gave $21 million to Gruttadauria, not to hide under a rock or lock in a safe, but for the express purpose of investment, with a hope — indeed a reasonable expectation — that it would gro...
Securities Investor Protection Act of 1970
The Securities Investor Protection Act of 1970 created SIPC - the organization empowered to protect investors.
Letter to Orlan Johnson from COVISAL - Ref. SEC’s request to Liquidate SGC under SIPA
In Reference to the SEC’s request dated June 15, 2011 that SIPC
begin a liquidation of the Stanford Group Company (“SGC”) under SIPA.
TRUSTEE PICARD'S LAWSUIT (MADOFF CASE) AGAINST HSBC-- Judge Rakoff s Ruling- TRUSTEE BARRED FROM PUR
The liquidator for Bernard Madoff’s firm was barred by a federal judge from pursuing some claims in his lawsuit against HSBC Holdings Plc (HSBA) seeking to recover money for Madoff customers.
Irvi...
Defendants memorandum of law withdrawal from the bankruptcy court of the “clawback” actions brought
The Trustee has violated SIPA – and caused untold devastation to thousands of innocent investors whose lives were decimated by Madoff’s fraud -- by utilizing the avoidance provisions of the Bankrup...
Congressman Steve Cohen Letter to SEC Chairman Mary Schapiro
This April 2011 letter from Rep. Steve Cohen to SEC Chairman Mary Schapiro questions the SEC's inaction to protect Stanford Group Company (SGC) customers under the Securities Investor Protection Ac...
Press Release: Innocent Stanford Victims Ask 130 Legislators of the U.S. Congress and the SEC for “E
Innocent Stanford Victims Ask 130 Legislators of the U.S. Congress and the SEC for “Equal Treatment”
Summary of Legal Arguments for SIPC Coverage for Stanford Group Company Customers
This is a high-level summary of the legal arguments supporting a liquidation of Stanford Group Company under the Securities Investor Protection Act.
Addendum to Dean Velvel's Appellant Brief re: Final Account Statement - Net Equity
This Addendum to Dean Velvel's Brief gives a clear overview of the legislative intent of the SIPA.
