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14 Jun 2022, 8:06 am
The Securities and Exchange Commission has leved insider trading charges against David Roda, a former software engineer at Penn National Gaming’s subsidiary Penn Interactive Ventures, in connection with the parent company’s $2 billion acquisition of Toronto-based Score Media and Gaming, Inc. [read post]
14 Jun 2022, 6:35 am
For example, in early 2022, investors raised the bar for board diversity, [3] and the US Securities and Exchange Commission (SEC) proposed rules seeking greater disclosure of the board’s role in climate change and cybersecurity, with rules on human capital management to come. [read post]
14 Jun 2022, 6:35 am
For example, in early 2022, investors raised the bar for board diversity, [3] and the US Securities and Exchange Commission (SEC) proposed rules seeking greater disclosure of the board’s role in climate change and cybersecurity, with rules on human capital management to come. [read post]
14 Jun 2022, 3:01 am
It also issued warnings to stop using bed rails made by Metal Tubing USA Inc. in 2021-2022. [read post]
13 Jun 2022, 8:25 am
” Ugicom Enterprises, Inc. v. [read post]
13 Jun 2022, 6:56 am
” Without admitting or denying the SEC’s findings, Schwab’s investment adviser subsidiaries, Charles Schwab & Co., Inc., Charles Schwab Investment Advisory, Inc., and Schwab Wealth Investment Advisory, Inc., agreed to a cease-and-desist order prohibiting them from violating the antifraud provisions of the Investment Advisers Act of 1940, censuring them, and requiring them to pay approximately $52 million in disgorgement and prejudgment interest,… [read post]
10 Jun 2022, 7:22 am
How RBC Is Using the PIN to Poke at Rising FraudAmerican Banker – June 2, 2022 (subscription required) The pandemic has made e-commerce more ubiquitous — and more dangerous — than ever, and Royal Bank of Canada is addressing this trend by stacking layers of security, including one that many might think outdated in the digital era: the PIN. [read post]
9 Jun 2022, 10:19 am
” It also uses its own Facebook accounts (called Muppets) to collect information. [read post]
9 Jun 2022, 7:56 am
Shawn Good (CRD # 2022168) was reportedly registered with the following FINRA registered firms, among others during his career in the securities industry: 12/06/2012 – 03/10/2022, MORGAN STANLEY (CRD#:149777), WILMINGTON, NC, 11/09/2004 – 12/07/2012, WELLS FARGO ADVISORS, LLC (CRD#:19616), WILMINGTON, NC 05/22/1996 – 08/11/2004, CHARLES SCHWAB & CO., INC. [read post]
9 Jun 2022, 6:05 am
WhatsApp Inc. [read post]
8 Jun 2022, 9:01 pm
Therefore, I’ve asked staff to consider recommending that the SEC propose its own best execution rule — for equities and other securities. [read post]
8 Jun 2022, 1:11 pm
RagingWire Telecommunications, Inc. held that a person with disabilities who used medical marijuana was NOT protected under FEHA. [read post]
8 Jun 2022, 11:39 am
The two clients, Sequential Brands Group, Inc. [read post]
8 Jun 2022, 11:03 am
Contact us today for a free consultation. [read post]
8 Jun 2022, 11:03 am
Contact us today for a free consultation. [read post]
7 Jun 2022, 5:00 pm
Police carry guns to defend themselves, not us. [read post]
7 Jun 2022, 2:31 pm
The Securities and Exchange Commission today charged Bridgewater, NJ-based Synchronoss Technologies, Inc. and seven senior employees, including the former CFO, in connection with their roles related to long-running accounting improprieties that ran from 2013 to 2017. [read post]
7 Jun 2022, 9:06 am
Teamviewer US, Inc., 2021 WL 3046775 (C.D. [read post]
7 Jun 2022, 6:30 am
The SEC alleged that, after an NS8 employee raised concerns to Hansen about a possible securities law violation, Hansen took action to limit the employee’s access to the company’s IT systems. [read post]
7 Jun 2022, 6:30 am
The SEC alleged that, after an NS8 employee raised concerns to Hansen about a possible securities law violation, Hansen took action to limit the employee’s access to the company’s IT systems. [read post]
