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Friday Job Announcements
9 Oct 2023, 9:45 pm by Arianna Morseau
Closing date: Friday, October 13, 2023, and applications may be used to fill additional positions as vacancies become available. [read post]
Turtle Talk - https://turtletalk.blog/
Davis Polk Discusses Recent SEC and CFTC Enforcement Actions
3 Oct 2023, 9:01 pm by renholding
August 4, 2023, settled) In the Matter of Canoo, Inc. [read post]
The CLS Blue Sky Blog - https://clsbluesky.law.columbia.edu/
Securities Industry Commentator by Bill Singer Esq
5 Jun 2023, 4:09 am
Federal Circuit Court Says Price Isn't Right In UBS Whistleblower Retaliation (BrokeAndBroker.com Blog) Branch Manager and FINRA Fail to See Red Flags of Unsuitability Involving Senior Customers (BrokeAndBroker.com Blog) Physically Delivering Digital Assets In Order To Satisfy CFTC's Observation (BrokeAndBroker.com Blog) Bill Singer, Publisher of the Securities Industry Commentator and the BrokeAndBroker.com Blog, Calls for BOYCOTT of 2023 FINRA Elections … [read post]
Broke and Broker - http://brokeandbroker.com/index.php
SEC Cracks down on 16 Wall Street Firms for Electronic Communications Failures 
28 Sep 2022, 12:37 pm by The White Law Group
And DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Securities and Exchange Commission charges six Wall Street firms with widespread recordkeeping failures and improper use of text messaging in violation of securities laws. Total penalties exceed $1.1 Billion
28 Sep 2022, 8:06 am by jeffreynewmanadmin
;Credit Suisse Securities (USA) LLC;Deutsche Bank Securities Inc. together with DWS Distributors Inc. and DWS Investment Management Americas, Inc. [read post]
Whistleblower Blog - https://www.jeffreynewmanlaw.com/blog/
Top Ten Tax Recoveries for 2021
19 Jan 2022, 1:21 pm by luiza
These “insurance wrappers” were marketed to taxpayers withdrawing assets from UBS and other Swiss banks in response to increased tax enforcement efforts aimed at those banks. [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Top Ten Tax Recoveries for 2021
19 Jan 2022, 1:21 pm by luiza
These “insurance wrappers” were marketed to taxpayers withdrawing assets from UBS and other Swiss banks in response to increased tax enforcement efforts aimed at those banks. [read post]
Whistleblower Insider - https://constantinecannon.com/practice/whistleblower/blog/
Trade Alert: Argentina
2 Nov 2021, 8:49 am by Shannon O'Hare
    A properly created trust may remove the asset from the estate of the debtor in insolvency scenarios. [read post]
Government Contracts Blog - http://brownrudnick.com/insights/government-contracts/
BlackRock, UBS, HSBC Among Firms Facing Losses Due to Impending Evergrande Debt Default
20 Sep 2021, 12:35 pm by zamansky
BlackRock Inc., UBS Group AG and HSBC Holdings PLC are among several firms that hold large stakes in Evergrande’s debt. [read post]
Zamansky LLC Blog - http://www.zamansky.com/news-media/
Did Todd M. Michael Perry Sell You On The UBS Yield Enhanced Strategy?
10 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did William Word Huthnance Sell You On The UBS Yield Enhanced Strategy?
10 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Thomas Peter Wallack Sell You On The UBS Yield Enhanced Strategy?
9 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Thomas Joseph Livaccari Sell You On The UBS Yield Enhanced Strategy?
9 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Timothy Joseph Croak Sell You On The UBS Yield Enhanced Strategy?
9 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Simon Alexander Clarke Sell You On The UBS Yield Enhanced Strategy?
9 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Roy K. Tonning Sell You On The UBS Yield Enhanced Strategy?
9 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Robert Benjamin Perlman Sell You On The UBS Yield Enhanced Strategy?
8 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Richard Ralph Lafferty Sell You On The UBS Yield Enhanced Strategy?
8 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Roderick K. Von Lipsey Sell You On The UBS Yield Enhanced Strategy?
8 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/
Did Robert Charles Mueller Sell You On The UBS Yield Enhanced Strategy?
8 Aug 2020, 4:00 am by Law Offices of Robert Wayne Pearce, P.A.
Despite your UBS Financial Services, Inc. [read post]
The Investor's Rights Law Blog - https://www.investorsrights.com/