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7 Jun 2016, 12:52 pm
Bruce Boyer of the Pinellas County Circuit Court conducted on evidentiary hearing on the Plaintiff’s Emergency Motion For Temporary Injunction Without Notice and to Expel And Dissociate Defendant As a Member of Reflection Fashions, LLC. [read post]
27 Mar 2015, 6:00 am
Tulip Brick is by Tjololo Photo The post Compliance Bricks and Mortar for March 27 appeared first on Compliance Building. [read post]
31 May 2013, 7:57 am
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
8 Dec 2015, 9:03 am
Bruce Balmer, CIRM, CLVS, CCVS1. [read post]
8 Feb 2013, 5:00 am
‘Without Wheels’: Sometimes Circumstantial Evidence Can Be Quite Powerful by Bruce Carton in Compliance Week The SEC alleged that Vance learned about the merger when he was asked to help Clear One’s CEO resolve an e-mail issue and saw confidential merger documents, and tipped Wellington. [read post]
4 Jan 2013, 5:00 am
Khuzami Posts Blog Comment Defending SEC’s Record, Policies by Bruce Carton in Compliance Week In a December 27 post, Johnson wrote that as Robert Khuzami will reportedly soon step down as Director of Enforcement at the SEC, “the Obama administration should press for the appointment of Neil Barofsky, former special inspector general for the Troubled Asset Relief Program, to this position. [read post]
7 Jun 2016, 12:52 pm
Bruce Boyer of the Pinellas County Circuit Court conducted on evidentiary hearing on the Plaintiff’s Emergency Motion For Temporary Injunction Without Notice and to Expel And Dissociate Defendant As a Member of Reflection Fashions, LLC. [read post]
26 Jul 2012, 6:10 am
Senate Committee on Indian Affairs is broadcasting a live webcast of today's Oversight Hearing on Regulation of Tribal Gaming: From Brick & Mortar to the Internet. [read post]
10 Apr 2014, 5:00 am
While are there are many sophisticated investors and business executives, the domain of intellectual property and intangible assets is very different from the bricks and mortar world that they inhabit. [read post]
10 Apr 2014, 5:00 am
While are there are many sophisticated investors and business executives, the domain of intellectual property and intangible assets is very different from the bricks and mortar world that they inhabit. [read post]
24 Apr 2015, 5:25 am
The post Compliance Bricks and Mortar for April 24 appeared first on Compliance Building. [read post]
10 Apr 2015, 5:00 am
The post Compliance Bricks and Mortar for April 10 appeared first on Compliance Building. [read post]
12 Apr 2013, 5:00 am
Hedge Fund Survey Shows Misconduct Believed to be Widespread by Bruce Carton in Compliance Week A recent survey of hedge fund professionals indicates that misconduct is widespread in the industry, and that a very large percentage of professionals in the industry are prepared to report wrongdoing under a program such as the SEC’s new whistleblower program under Dodd-Frank. [read post]
11 Jan 2013, 5:00 am
‘They Owe It to Me’: FBI Identifies Top Email Phrases Used by Fraudsters by Bruce Carton in Compliance Week According to research conducted by Ernst & Young in collaboration with the FBI, these phrases are among the top terms used by employees in emails discussing fraud. [read post]
31 May 2013, 7:57 am
Professional SEC Whistleblower Firm Seeks Investors to Finance Investigations by Bruce Carton in Compliance Week Now, it appears that the first generation of professional whistleblowers is upon us. [read post]
1 Aug 2008, 6:55 am
Here's another brick in the wall. [read post]
22 Mar 2013, 5:00 am
NoDoz: Early Birds Needed to Work at SEC by Bruce Carton in Compliance Week What impact will White will have on the SEC? [read post]
7 Jun 2013, 5:43 am
Warren Asks SEC for Any Research on Benefits of ‘No Admission’ Settlements by Bruce Carton in Compliance Week At the hearing, new SEC Chair Elisse Walter began to testify about how the SEC “look[s] at the distinction between what we could get if we go to trial, and what we could get if we don’t,” but she was shut down by Sen. [read post]
14 Aug 2015, 5:00 am
Beware the ‘SEC Impersonator’ Scams Targeting Your Money by Bruce Carton in Compliance Week You might not think that fraudsters impersonating the SEC would be a significant or ongoing problem but the volume of the SEC’s “Investor Alerts” on this topic would seem to suggest otherwise. [read post]
10 Oct 2014, 5:00 am
Yet Another Study Debunks ‘Revolving Door’ Worries by Bruce Carton in Compliance Week Although I have followed the revolving door issue closely for many years, I have never seen any actual evidence that the “SEC lawyers will go easy on firms to get a future job” theory is, in fact, true. [read post]
