Search for: "Hester"
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15 Apr 2016, 7:34 am
Chuck Schumer and allies are holding up two presidential nominations to the Securities and Exchange Commission, those of Democrat Lisa Fairfax and Republican Hester Peirce, demanding that the nominees commit to supporting a scheme to force shareholder-held companies to disclose their political involvements, the better for adversaries to pressure them or retaliate. [read post]
22 Dec 2006, 1:40 pm
I offer you this eloquent and poignant post provided by Colorado Personal Injury Attorney Mac Hester over at the Colorado Trial Practice Blog: You are injured. [read post]
5 Mar 2021, 12:30 pm
[Waters of the United States, stolen gift cards, and Hester Prynne.] [read post]
24 Mar 2014, 9:05 pm
[Hester Peirce, Ian Robinson, Thomas Stratmann, Mercatus] “How the Feds Can Take Even Legally Earned Bitcoins” [Peter Coy, Business Week] “No Shame Dept.: Lawyers Sue Over Practically Every Merger, Again” [Daniel Fisher] Brewster Kahle on Know Your Customer: “‘Bank Secrecy Act’ I suggest is a misnomer– it is more accurately the ‘Bank Surveillance Act’” [Kahle.org, earlier here, here, etc.] [read post]
11 Jul 2022, 3:51 am
Boustead Securities Survives Motion to Dismiss in Success Fee Dispute (BrokeAndBroker.com Blog)SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice / Amendments Address Concerns by Investors and Others Regarding Rules That May Impair the Timeliness and Independence of Proxy Voting Advice (SEC Release)Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice by SEC Commissioner Allison Herren LeeU-Turn: Comments on Proxy Voting Advice… [read post]
16 Sep 2013, 2:09 pm
This is a significant case given the extent of conditions for sex offenders, and what must be disclosed as a part of parole or SR sex offender treatment.Congrats to Tom Hester, AFPD in Portland, Oregon. [read post]
14 May 2021, 4:09 am
SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index (SEC Release)Statement on S&P Dow Jones Indices LLC by SEC Commissioner Hester M. [read post]
20 Jul 2020, 2:04 am
FINRA Borrowing Rule Seems to Say What It Means But It Doesn't Actually Mean What It Says (BrokeAndBroker.com Blog)Not Braking and Breaking (Speech by SEC Commissioner Hester Peirce)E-brokers TD Ameritrade, Interactive Brokers sustained record retail trading volumes in the second quarter (CNBC by Maggie Fitzgerald)After 3-year battle with Credit Suisse, advisors may finally receive $6.7M award (Financial Planning by Andrew Welsch)CFTC Announces Whistleblower Awards Totaling… [read post]
17 Sep 2022, 9:15 am
Department of Housing and Urban Development Assistant Inspector General Convicted of Falsifying Financial Disclosure Forms (DOJ Release)Area man who claimed to be African prince convicted by jury of several fraud crimes (DOJ Release)SEC Charges Investment Adviser with Violating the Proxy Voting Rule (SEC Release)Statement Regarding In the Matter of Toews Corporation by SEC Commissioner Hester Peirce and Commissioner Mark T. [read post]
10 May 2019, 5:08 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4588/securities-industry-commentator/Wells Fargo Personal Banker Pleads Guilty to Money Laundering Charges (DOJ Release)Opioid Addiction on Wall Street: A Wells Fargo Employee Is Barred (BrokeAndBroker.com Blog)GOZNYM CYBER-CRIMINAL NETWORK OPERATING OUT OF EUROPE TARGETING AMERICAN ENTITIES DISMANTLED IN INTERATIONAL OPERATION / Network Formed by… [read post]
12 Feb 2021, 11:24 am
., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
16 Oct 2020, 11:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5495/securities-industry-commentator/SEC Issues Record $114 Million Whistleblower Award (SEC Release)When the Nail Fails – Remarks before the National Society of Compliance Professionals by SEC Commissioner Hester PeirceGoldman Sachs Charged in Foreign Bribery Case and Agrees to Pay Over $2.9 Billion (DOJ Release)SEC Charges Goldman Sachs… [read post]
9 Apr 2021, 6:00 am
These Foolish Things Remind Me of FINRA (BrokeAndBroker.com Blog)Rhode Island Man Allegedly Swindled Victims Who Thought They Were Investing in Las Vegas Show Based on 'Magic Mike' Films (DOJ Release)Second Managing Partner Of Investment Advisory Firm Pleads Guilty To Defrauding Clients And Investors In Over $100 Million Ponzi-Like Fraud Scheme (DOJ Release)Mob Associate Sentenced to 4+ Years for Real Estate Fraud Scheme / The defendant stole down payments for homes from two different… [read post]
9 Nov 2018, 5:31 am
Costumes, Candy, and Compliance: Remarks at the National Membership Conference of the National Society of Compliance Professionals by SEC Commissioner Hester Peircehttps://www.sec.gov/news/speech/speech-peirce-103018In another thoughtful yet provocative speech, SEC Commissioner Peirce muses about the best way to calibrate enforcement in terms of encouraging diligent in-house compliance policies and practices. [read post]
8 Aug 2022, 4:02 am
CrenshawEnhancing Private Fund Adviser Reporting Data (Statement by SEC Commissioner Jaime Lizárraga)Statement on Proposed Amendments to Form PF to Amend Reporting Requirements for All Filers and Large Hedge Fund Advisers by SEC Commissioner Hester M. [read post]
15 Sep 2020, 9:19 am
Intellectual Siren Song (Remarks at the 7th Annual Conference on Financial Market Regulation by SEC Commissioner Hester Peirce)'FinCEN' documents reportedly show banks moved illicit funds - BuzzFeed, ICIJ (Reuters Release)9Cir Affirms Dismissal of Class Action Against Credit Suisse SecuritiesChristopher Laver, Plaintiff/Appellant, v. [read post]
11 Jul 2022, 3:51 am
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved (BrokeAndBroker.com Blog)Statement on the Order Granting Temporary Conditional Exemptive Relief from Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail by SEC Commissioner Hester M. [read post]
11 Sep 2020, 9:26 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5434/securities-industry-commentator/Former Foreign Exchange Trader Sentenced To Prison For Price Fixing And Bid Rigging (DOJ Release)In the Matter of the Claims for an Award in Connection with Redacted (SEC Order Determining Whistleblower Award Claim)Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted… [read post]
11 Jul 2022, 3:51 am
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved (BrokeAndBroker.com Blog)Clarksville Man Sentenced to Over Three Years in Federal Prison for Bilking Investors Out of Over $1.4 Million (DOJ Release)"Former Battle Ground, Washington, bank branch manager charged with stealing over $1 million from elderly customers / Allegedly used authority and access to conduct unauthorized transactions (DOJ Release)Reality Show Cast Member Pleads Guilty To Running… [read post]
12 Mar 2021, 11:31 am
FINRA Charges Operations Professional $5,000 for Sushi (BrokeAndBroker.com Blog)Six Charged with Crimes Related to Virtual Currency Exchange Business (DOJ Release)Former Chief Investment Officer Admits Bank Fraud Relating To $91.5 Million Commercial Loan (DOJ Release)Former Bank Teller Sentenced to Fifteen Months in Jail for Stealing from Wells Fargo Bank Customers (DOJ Release)SEC Awards Approximately $1.5 Million to Whistleblower (SEC Release)Paper, Plastic, Peer-to-Peer / Remarks at the British… [read post]
