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19 Dec 2019, 9:01 pm
Inc. v. [read post]
26 Nov 2019, 6:50 am
According to FINRA Disciplinary actions for October 2019, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bender, Charles Suntrust Investment Services, Inc JP Morgan Securities Bingham, Daniel Essex Securities Investors Capital Corp Devaney,… [read post]
12 Nov 2019, 6:41 am
” Julian Tirsu, Garth Landers, Shane Harris. [read post]
8 Nov 2019, 5:55 am
Securities and Exchange Commission, on Tuesday, November 5, 2019 Tags: Capital markets, Conflicts of interest, Corporate debt, Credit risk, Disclosure, LIBOR, Municipal securities, Ratings agencies, Ratings disclosure The Basis for ISS’ Lawsuit Against the SEC Posted by Steven Friedman, Institutional Shareholder Services, Inc., on Tuesday, November 5, 2019 Tags: Glass Lewis, Institutional… [read post]
31 Oct 2019, 5:55 pm
A similar scenario is now playing out the Phillip Morris International Inc. [read post]
22 Oct 2019, 11:44 am
According to FINRA Disciplinary actions for August 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Patrick Auckland TIAA-VREF Individual & Institutional Services Morgan Stanley Matthew DiNinno Morgan Stanley Merrill Lynch, Pierce, Fenner & Smith Nicholas Diesso Ameriprise Financial Services … [read post]
4 Oct 2019, 6:00 am
(Delaware Supreme Court and Harvard Law School), on Tuesday, October 1, 2019 Tags: Accountability, Capital markets, Employees, ESG, Institutional Investors, Labor markets, Long-Term value, Public firms, Public interest, Stakeholders, Sustainability Evolving Board Evaluations and Disclosures Posted by Steve W. [read post]
2 Oct 2019, 10:21 am
NantKwest, Inc. [read post]
26 Sep 2019, 3:21 pm
Borello & Sons, Inc. v. [read post]
17 Sep 2019, 4:30 am
By email dated May 9, 2013, Harris sent copies of the deed to the property, the first and final pages of the trust agreement, and an appraisal of the property’s fair market value to Steven Frushtick, ARG’s accountant at defendant Wiener Frushtick & Straub (WPS), stating that “only 50% of the house” had been transferred to the trust. [read post]
30 Aug 2019, 5:53 am
Wolf, Kirkland & Ellis LLP, on Thursday, August 29, 2019 Tags: Board monitoring, Board oversight, Boards of Directors, Confidentiality, Fiduciary duties, Indemnification, Liability standards, Section 11, Securities Act, Securities litigation, Shareholder voting, U.S. federal courts A New Understanding of the History of Limited Liability: An Invitation for Theoretical Reframing Posted by Ron Harris (Tel Aviv… [read post]
4 Aug 2019, 10:03 pm
Former Google design ethicist Tristan Harris calls this “brain hac [read post]
30 Jul 2019, 6:30 am
In In re Facebook, Inc. [read post]
22 Jul 2019, 11:41 am
Facebook, Harris v. [read post]
5 Jul 2019, 6:05 am
Rosenberg, Fried, Frank, Harris, Shriver & Jacobson LLP, on Monday, July 1, 2019 Tags: Broker-dealers, Compliance & ethics, Conflicts of interest, Disclosure, Fiduciary duties, Investment advisers, Regulation Best Interest, SEC, SEC rulemaking, Securities regulation Deal Insurance: Representation & Warranty Insurance in M&A Contracting Posted by Sean J. [read post]
1 Jul 2019, 11:27 am
Medical Update: More costs likely to be passed on to consumers According to an article this Sunday in the Dallas Morning News, “It’s open season, and time to rethink your health plan,” this is the year to rework and review your health insurance coverage. [read post]
24 Jun 2019, 1:41 pm
” The committee will call Tristan Harris, Co-Founder and Executive Director, Center for Humane Technology; Rashida Richardson, Director of Policy Research, AI Now Institute; Maggie Stanphill, Director, Google User Experience, Google, Inc.; and Stephen Wolfram, Founder and Chief Executive Officer, Wolfram Research. [read post]
22 Jun 2019, 9:08 am
Inc. [read post]
17 Jun 2019, 12:45 pm
Justice Gorsuch with opinion in Virginia Uranium Inc. v. [read post]
14 Jun 2019, 6:18 am
Posted by Cydney Posner, Cooley LLP, on Saturday, June 8, 2019 Tags: Capital formation, Capital markets, Dual-class stock, Financial reporting, IPOs, Long-Term value, Public firms, Securities regulation, Short-termism A New Era of Extraterritorial SEC Enforcement Actions Posted by Joshua D. [read post]
