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5 Jan 2024, 10:01 am
Morgan Securities LLC Wells Fargo Clearing Services, LLC Brittny Stagnitto Anthony Vadino Equitable Advisors, LLC LPL Financial LLC For example, FINRA Rule 3240 governs borrowing and lending arrangements between registered investment advisors (RIAs) and customers of their member firm. [read post]
28 Dec 2023, 3:30 am
She would go on to spend an impressive 23-year tenure at JP Morgan Chase. [read post]
27 Dec 2023, 8:45 am
Merrill Lynch, Pierce, Fenner & Smith Incorporated Louis Pellegriti Spartan Capital Securities, LLC Worden Capital Management LLC Jorge Sarria Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Incorporated Daniel Snodgrass BCG Securities, Inc. [read post]
18 Dec 2023, 3:05 am
The new offences are characterised as having a higher mens rea threshold than those they replace and can, notably, apply to corporate bodies. [read post]
16 Dec 2023, 6:09 am
It paints the picture of a rotten corporate culture, desperate to escape accountability at all costs. [read post]
11 Dec 2023, 9:07 am
There is no other conference in legal tech that brings together a similar mix of startup founders, established company leaders, VCs and other investors, academics, and innovation leaders from law firms and corporate legal. [read post]
10 Dec 2023, 9:01 pm
As a capital allocation decision, share buybacks intersect all three of the main corporate finance activities of investing, financing, and dividends[1]. [read post]
4 Dec 2023, 2:49 pm
Morgan L.W. [read post]
20 Nov 2023, 2:30 pm
Breyault, Vice President, Public Policy, Telecommunications and Fraud at the National Consumers League, Monica Hernandez, Senior Corporate Counsel at Amazon, Michael Ostheimer, Senior Attorney at the Federal Trade Commission, and Morgan Stevens, Research Assistant at the Center for Data Innovation. [read post]
14 Nov 2023, 6:11 am
An explosion happened less than a month ago when two people working pipeline maintenance perished in a blast involving the construction site of the Kinder Morgan Natural Gas Pipeline in Grand Tower, Illinois. [read post]
10 Nov 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, November 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of November 3-9, 2023 Understanding the Corporate Transparency Act’s Company Reporting Obligations Posted by Nathan Barnett, Daniel Bell, and Sebastian Orozco Segrera, McDermott Will & Emery LLP, on Friday, November 3, 2023 Tags: FinCEN, Regulations, US Corporate… [read post]
10 Nov 2023, 6:30 am
Posted by the Harvard Law School Forum on Corporate Governance, on Friday, November 10, 2023 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of November 3-9, 2023 Understanding the Corporate Transparency Act’s Company Reporting Obligations Posted by Nathan Barnett, Daniel Bell, and Sebastian Orozco Segrera, McDermott Will & Emery LLP, on Friday, November 3, 2023 Tags: FinCEN, Regulations, US Corporate… [read post]
10 Nov 2023, 6:22 am
“On October 21, 2022, Plaintiff Prospect Capital Corporation (Prospect orplaintifO commenced this action against Defendants Morgan Lewis & Bockius LLP(Morgan Lewis) and Matthew Schernecke (together, defendants), alleging a claimfor legal malpractice in connection with legal services rendered by defendants whilenegotiating the terms of a debt subordination agreement on plaintiffs behalf(NYSCEF # 2 – compl). [read post]
5 Nov 2023, 10:11 am
During his time at JP Morgan, Staley became acquainted with Epstein, who was a client of JP Morgan’s. [read post]
3 Nov 2023, 11:39 am
Prior to joining Ares, Diana worked at Morgan Lewis for 3 years as an associate and in college, Diana worked in law firms in Vienna, Austria and Shanghai, China. [read post]
26 Oct 2023, 8:53 am
Ronald Diaz Morgan Stanley J.P. [read post]
26 Oct 2023, 8:35 am
Pruco Securities LLC Madison Avenue Securities, LLC Jack McBride Newbridge Securities Corporation B. [read post]
22 Oct 2023, 9:01 pm
’”[20] The court found that Morgan Stanley failed to meet its disclosure obligations under Item 303 and that the bank’s omissions were material, but the court ultimately did not find Morgan Stanley liable under Section 10(b) because the plaintiffs had failed to establish a strong inference of scienter.[21] In 2017, the Supreme Court had the opportunity to address this circuit split in Leidos, Inc. v. [read post]
18 Oct 2023, 6:00 am
Employees Leave the Same Old Employer for the Same New Employer In Morgan Canada Corporation v MacDonald, Morgan Canada Corporation (“Morgan”) sought an injunction against two former employees “MacDonald” and “Di Nardo”, MacDonald’s wife “Caroline”, and Reefer Sales and Service (Toronto) Incorporated (“Reefer”), the company for which both MacDonald and Di Nardo had left Morgan. [read post]
18 Oct 2023, 6:00 am
Employees Leave the Same Old Employer for the Same New Employer In Morgan Canada Corporation v MacDonald, Morgan Canada Corporation (“Morgan”) sought an injunction against two former employees “MacDonald” and “Di Nardo”, MacDonald’s wife “Caroline”, and Reefer Sales and Service (Toronto) Incorporated (“Reefer”), the company for which both MacDonald and Di Nardo had left Morgan. [read post]
