Search for: "Financial Litigation Unit"
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1 May 2024, 6:47 am
” “FINRA orders Barclays unit to pay $700K over conflicts of interest” — “A Barclays unit agreed to pay $700,000 to settle allegations levied by the Financial Industry Regulatory Authority (FINRA) that its research analysts violated conflict-of-interest rules and the firm failed to sufficiently supervise their trades. [read post]
30 Apr 2024, 3:02 pm
Finally, the Final Rule’s requirements “do not apply where a cause of action related to a noncompete clause accrued prior to the effective date,” shielding ongoing litigation from immediate implications of the Final Rule. [read post]
30 Apr 2024, 2:34 pm
Finally, the Final Rule’s requirements “do not apply where a cause of action related to a noncompete clause accrued prior to the effective date,” shielding ongoing litigation from immediate implications of the Final Rule. [read post]
30 Apr 2024, 11:05 am
While these laws exist in 30 states across the United States, their application and enforcement vary widely. [read post]
29 Apr 2024, 2:15 pm
The settlement helps the 42-year-old pop superstar avoid continued litigation, including a hearing that had been set for May, over her father’s alleged financial misconduct during the controversial legal arrangement. [read post]
28 Apr 2024, 9:05 pm
The relevance of regulation was expressed and repeated by other bodies of the United Nations and the International Monetary Fund. [read post]
26 Apr 2024, 9:38 am
Nevertheless, the images were still considered works of art, as they entered the primary art market and resulted in Mann’s financial gain. [read post]
24 Apr 2024, 3:38 pm
The Honorable Robin Rosenberg was the presiding United States District Court Judge. [read post]
22 Apr 2024, 10:00 pm
Affirmative, Negative, and Financial Covenants Read this overview of the types and purposes of covenants found in credit agreements, along with the process by which loan parties are captured, or not, by those covenants. [read post]
22 Apr 2024, 3:13 pm
Editor’s Note: The American Privacy Rights Act of 2024 (APRA) is a significant piece of legislation that aims to establish a unified federal framework for consumer data protection in the United States. [read post]
22 Apr 2024, 2:04 pm
Litig., 768 F.3d 1046 (9th Cir. 2014); Carvelli v. [read post]
22 Apr 2024, 1:06 am
The United States has provided assurances that Julian Assange would not receive the death penalty in the event that he is extradited. [read post]
21 Apr 2024, 9:01 pm
However, Columbia and nearly every other major college and university in the United States quite properly value free speech as central to the mission of education and research. [read post]
21 Apr 2024, 5:54 am
This package includes financial support for artillery shells, air defense systems, and other critical military supplies. [read post]
18 Apr 2024, 9:01 pm
Take for example, the recent reporting around an airline’s chatbot offering a customer incorrect information about its refund policy.[16] Second, take what you’ve learned from our orders and public pronouncements, and your own research, and engage with personnel inside your company’s different business units to learn how AI intersects with their activities, strategies, risks, financial i [read post]
17 Apr 2024, 9:01 pm
They opened an office in the financial district in Manhattan. [read post]
17 Apr 2024, 1:05 am
The COVID-19 pandemic was a disruptive event with the consequences continuing to reverberate through the economy and the business environment, in ways that not only affect companies’ operations and financial performance, but, for at least some companies, in ways that lead to securities class action litigation. [read post]
15 Apr 2024, 10:00 pm
The amendments respond to substantial changes in the financial services industry since the exemption’s 1984 establishment. 89 Fed. [read post]
15 Apr 2024, 9:01 pm
Two federal district courts recently upheld decisions by the Federal Reserve Bank of Kansas City (FRBKC) and the Federal Reserve Bank of San Francisco (FRBSF) to deny master account applications from Custodia Bank (Custodia) and PayServices Bank (PayServices). [read post]
12 Apr 2024, 4:00 am
They are using novel financial arrangements, like taking “bridge funding” in the form of loans from major donors or receiving ad revenue from a candidate’s podcast. [read post]
