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27 Jan 2021, 11:22 am
Hsu repeatedly lied under oath to the Securities and Exchange Commission and encouraged her victims to lie to the FBI on her behalf. [read post]
24 Jan 2020, 10:34 am
Tower Research Capital – In November 2017, the CFTC recovered $67.4 million from Tower Research Capital for its widespread “spoofing” of equity index futures products traded on the Chicago Mercantile Exchange (CME) and Chicago Board of Trade (CBOT). [read post]
28 Feb 2006, 11:42 pm
(TTABlogged here.)In re Isabella Fiore, LLC, 75 USPQ2d 1564 (TTAB 2005). [read post]
1 Oct 2015, 2:02 pm
’s list of “2011 Top Advisors”. [read post]
9 Jul 2021, 7:07 am
The exchanges had filed a challenge to the plans 65 days after the Commission’s action, falling outside of the Exchange Act’s deadline of 60 days for challenging Commission orders. [read post]
18 Jun 2019, 6:30 am
Workers’ Comp Roundup Blog: http://blog.reduceyourworkerscomp.com/ ©2019 Amaxx LLC. [read post]
22 Dec 2021, 9:15 pm
Verret is Associate Professor at George Mason University Antonin Scalia Law School and Managing Director of Veritas Financial Analytics LLC. [read post]
30 Jun 2016, 9:29 am
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
7 Jul 2016, 5:03 pm
The Securities and Exchange Commission’s (“SEC”) recent $1 million settlement with Morgan Stanley Smith Barney LLC (“MSSB”) marked a turning point in the agency’s focus on cybersecurity issues, an area that the agency has proclaimed a top enforcement priority in recent years. [read post]
21 May 2013, 10:00 am
FMR, LLC. [read post]
1 Sep 2023, 10:28 am
Court Ruling Against Robinhood Could Let States Impose Tougher Rules on Broker-Dealers Massachusetts’ top appellate court upheld a first-in-the-nation rule holding broker-dealers to the same standard as investment advisers, which had been challenged by brokerage app provider Robinhood LLC. [read post]
1 Oct 2013, 6:17 am
The State of Delaware recently enacted several significant changes to the Delaware General Corporation Law (“DGCL”)and the Delaware LLC Act (“LLC Act”). [read post]
3 Apr 2009, 1:05 pm
Carey & Danis LLC is a national law firm based in St. [read post]
17 Jan 2018, 1:50 pm
Like-kind exchanges: The new laws eliminate like-kind exchanges for anything except real property. [read post]
29 Aug 2013, 11:20 am
Debates over methodology form part of the exchange in the marketplace of ideas, not an issue to be resolved by the courts. [read post]
21 Apr 2015, 10:21 am
The SEC charged BlackRock Advisors LLC with breaching its fiduciary duty by failing to disclose a conflict of interest involving the outside business activity of one of its top-performing portfolio managers, Daniel J. [read post]
2 Jul 2021, 9:43 am
In its settlement against New York broker-dealer Guggenheim Securities, LLC (Guggenheim), the SEC not only censured Guggenheim but also hit it with a penalty of $208,912. [read post]
17 Aug 2020, 9:39 am
Securities and Exchange Commission (SEC) since 2010. [read post]
6 Jan 2016, 5:30 pm
– Hayse, LLC Director Roger Hayse on their blog Managing Law Firm Transition What’s Ahead in 2016 For Employment Law? [read post]
13 Aug 2008, 4:39 pm
Carey & Danis LLC is a national law firm based in St. [read post]
