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2 Jun 2024, 9:01 pm by renholding
This event, together with its East Coast and now Midwest counterparts, offers regulators like me a unique opportunity to speak directly to leaders of the securities bar about issues of mutual concern. [read post]
24 May 2024, 7:03 am by Eric Fruits
For example, the merged firm would not be allowed to require that a client accept Live Nation as a promoter in order to access Ticketmaster’s primary ticketing services, or vice versa. [read post]
15 May 2024, 7:41 am by Eric Goldman
MGM Domestic Television Distribution, LLC, 39 F.4th 1236 (9th Cir. 2022), the Ninth Circuit agreed with my view (and cited my amicus brief), expressly rejecting a three-year limit on recovery of damages in cases in which the discovery rule applies. [read post]
13 May 2024, 12:09 pm by Kevin LaCroix
Background Origis USA LLC is a defendant in an underlying federal court liability suit relating to a corporate transaction. [read post]
9 May 2024, 2:00 pm by Joanna Herzik
The attorney’s firm now uses a VPN so that all communications are protected. [read post]
7 May 2024, 7:35 am by The White Law Group
(now Osaic Wealth Inc.), was barred from the securities industry by FINRA after being discharged by Osaic in December for allegedly selling promissory notes without prior approval. [read post]
3 May 2024, 8:38 am by Eric Goldman
“Minor has admitted he “gravely messed up and fully accept[s] that this is [his] fault. [read post]
30 Apr 2024, 6:08 am by Adam Klasfeld
Pecker was not reassured, and he nearly met the same fate, if his company failed to accept the non-prosecution agreement. [read post]
12 Apr 2024, 11:27 am by Rosalie Chen
  The NoCAs signal that the SEC Office of Whistleblower is now accepting whistleblower award claims for the enforcement actions. [read post]
10 Apr 2024, 6:51 am by Dan Bressler
At least now you know it’s going to boil down to how comfortable you are in self-insuring that risk. [read post]
29 Mar 2024, 3:12 pm by Seamus Kim
The NCA signals that the CFTC is now accepting whistleblower award claims for the case. [read post]