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Guest Post: 2023 Survey of Significant Decisions Involving California Section 533
25 Jan 2024, 2:51 pm by Kevin LaCroix
Section 533 of the California Insurance Code provides that an insurer is not liable for loss caused by an insured’s willful act. [read post]
The D & O Diary - http://www.dandodiary.com/
SEC Goes After JP Morgan for Violating Whistleblower Protection Rule
18 Jan 2024, 9:33 am by luiza
Add JP Morgan Securities to the ever-expanding list of companies the Securities and Exchange Commission (SEC) has gone after for violating the agency’s Whistleblower Protection Rule — SEC Rule 21F-17(a). [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
HSBC and Scotiabank Fined for Recordkeeping Violations 
11 May 2023, 12:36 pm by The White Law Group
See JP Morgan Securities Hit with $125 Million  According to a separate statement, Scotiabank and Scotia Capital also agreed to pay $15 million to the U.S. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Ex-JP Morgan Broker Edward Turley Barred from Securities Industry
18 Nov 2022, 9:37 am by The White Law Group
MORGAN SECURITIES LLC (CRD#:79), SAN FRANCISCO, CA,    B, 04/03/1995 – 12/06/2005, LEHMAN BROTHERS INC. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
 Harvest Collateral Yield Enhancement Strategy (CYES) Securities Investigation  
7 Oct 2022, 12:37 pm by The White Law Group
   CYES is an investment strategy marketed and sold by several brokerage firms including Merrill Lynch, Morgan Stanley and JP Morgan that targeted high income investors and was touted as a market-neutral strategy and a “safe” investment. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Potential Litigation Risks Associated with the SEC’s Proposed Climate-Disclosure Rule
5 Oct 2022, 6:30 am
Federal Securities Claims Potential Causes of Action The new disclosure requirements created by the SEC’s proposed rules could give rise to litigation based on alleged violations of the federal securities laws. [read post]
Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu
Quick Links from the Past Year, Part 6 (Defamation & Much More)
1 Jul 2022, 9:42 am by Eric Goldman
JP Morgan Chase Bank NA, 2022 WL 573663 (S.D. [read post]
Technology & Marketing Law Blog - http://blog.ericgoldman.org/
FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2022
1 Jun 2022, 9:16 am by Silver Law Group
  Anthony DiDonna   Equitable Advisors, LLC   Travis Eiland   HD Vest Insurance Services   HD Vest Investment Services   Jeremy Fortner   Wells Fargo Clearing Services, LLC   JP Morgan Chase Securities, LLC   Marc Korsch   Arkadios Capital   Centaurus Financial, Inc. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Katten Discusses Shareholder Litigation Risk in an Unstable Geopolitical Environment
25 May 2022, 9:01 pm by Richard Zelichov and Trevor T. Garmey
Morgan Stanley, 776 F.3d 94 (2d Cir. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Securities Regulators Warn Firms about Supervisory Issues at Annual FINRA Meeting 
18 May 2022, 1:17 pm by The White Law Group
(See: JP Morgan Securities Hit with $125 Million for Widespread Recordkeeping Failures)  The SEC rep said the firm didn’t preserve the written communications, which is a violation of securities laws. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
SEC Whistleblower Office Posts Notices for JP Morgan Recordkeeping Case, 11 Other Actions
5 Feb 2022, 7:38 am by Geoff Schweller
Morgan Securities LLC (JPMS), a broker-dealer subsidiary of JPMorgan Chase & Co. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
Top Ten SEC and CFTC Recoveries of 2021
7 Jan 2022, 2:20 pm by luiza
JP. [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Top Ten SEC and CFTC Recoveries of 2021
7 Jan 2022, 2:20 pm by luiza
JP. [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Disgorged funds to comply with authorities order is not an uninsurable penalty (US)
7 Dec 2021, 5:00 am by Patrick Bracher (ZA)
JP Morgan Securities Inc v Vigilant Insurance Company State of New York Court of Appeals No. 61 [read post]
Financial Institutions Legal Snapshot - http://www.financialinstitutionslegalsnapshot.com/
Edward Turley, Previously Registered JP Morgan Broker, Subject Of 7 Disclosures
7 Oct 2021, 6:13 am by Silver Law Group
The post Edward Turley, Previously Registered JP Morgan Broker, Subject Of 7 Disclosures appeared first on Securities Arbitration Lawyers Blog. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
A History of Corporate Whistleblower Protection Laws and the Efforts to Undermine Them
13 Jul 2021, 5:30 am by Sherron Watkins
Securities and Exchange Commission (SEC) fines and shareholder lawsuits, and get the PR crisis folks working overtime on explaining this mess to employees and shareholders. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/
FINRA Suspends Stockbrokers For Failing To Comply With FINRA Arbitration Award Or Settlement Agreement August 2020
3 Sep 2020, 8:21 am by Silver Law Group
  Cindy Fuzie   Morgan Stanley   MML Investors Services, LLC   Michael Garris   Wells Fargo Clearing Services, LLC   Morgan Stanley Smith Barney   Rajesh Gupta   Morgan Stanley Smith Barney   JP Morgan Securities LLC   James McEnerney, Jr. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/
Another Federal Court Suggests That, To Meet Adequacy Requirements, Class Counsel Should Reflect The Diversity Of The Putative Class
21 Jul 2020, 9:12 am by Seyfarth Shaw
Securities Litigation, No. 1:08 Civ. 05048 (S.D.N.Y. [read post]
Workplace Class Action Blog - http://www.workplaceclassaction.com/
Update in Suit Involving Aftermath of Fraud Arising from Wakpamni Lake Community Corp. TED Bonds in 2014-15
11 Jun 2020, 7:25 am by Matthew L.M. Fletcher
John Galanis (a/k/a “Yanni”) connected Anderson with Burnham Securities, Inc. [read post]
Turtle Talk - http://turtletalk.wordpress.com/
FINRA Disciplinary Actions For February 2020 Names Registered Individuals Barred For Failure To Provide Information
21 May 2020, 7:12 am by Silver Law Group
  Karney, Amogh   McGuire, Jesse   JP Morgan Securities LLC   Chase Investment Services Corp. [read post]
Securities Arbitration Lawyers Blog - https://www.silverlaw.com/blog/