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1 Aug 2022, 4:04 am
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)Absurd SEC Staff Bulletin Warns Industry To Adjust To Known Variables And Be Flexible (BrokeAndBroker.com Blog)FINRA Censures and Fines JP Morgan Securities In High-Profile Beverley Schottenstein Case (without naming Schottenstein!) [read post]
1 Aug 2022, 3:53 am
However, the Privy Council in RBS v JP SPC 4 [2022] UKPC 18 did not extend the duty further to cover third-party beneficial owners of funds in an account. [read post]
26 Jul 2022, 5:04 am
Sending thanks to the Wilkes-Barre Law Library Association for having me present my CLE "Golf Lessons: Tips on Professionalism and the Ethical Practice of Law" on Friday at the Association's Summer Outing/Golf Tournament at Fox Hill Country Club.Also sending out a special thanks to Joe Cardoni, JP Cardoni, and Leah Kane at Exhibit A (www.exhibitadigital.com) for helping me to put together the Powerpoint presentation and their help with the playback of the presentation.I… [read post]
1 Jul 2022, 9:42 am
JP Morgan Chase Bank NA, 2022 WL 573663 (S.D. [read post]
21 Jun 2022, 4:24 am
<a href="#jpms">JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)</a>Justice Department Secures Groundbreaking Settlement Agreement with Meta Platforms, Formerly Known as Facebook, to Resolve Allegations of Discriminatory Advertising / Lawsuit is the Department's First Case Challenging Algorithmic Discrimination Under the Fair Housing Act; Meta Agrees to Change its Ad Delivery System (DOJ Release)SEC… [read post]
21 Jun 2022, 4:24 am
JP Morgan Securities Sued for Over $10 Million in Team Dissolution FINRA Arbitration (BrokeAndBroker.com Blog)Former Head of Corporate Communications of $21 Billion Biopharmaceutical Company Admits Insider Trading (DOJ Release)Federal Indictment Charges CPA With Securities Fraud / More than 19 investors at or near retirement age lost over $3.6 million (DOJ Release)Rip Current Rulemakings: Statement on the Regulatory Flexibility Agenda by SEC Commissioner Hester M. [read post]
13 Jun 2022, 3:16 am
SBA data shows that lenders with assets of $50 billion or more provide most small business loans, holding more than 76 percent of them.[3] These lenders are large commercial banks such as Wells Fargo, JP Morgan, and Citibank. [read post]
8 Jun 2022, 5:00 am
Allstate Insurance Company, No. 2:21-CV-05048-JP (E.D. [read post]
3 Jun 2022, 4:15 pm
“You’d better brace yourself” The post JP Morgan CEO Jamie Dimon Says ‘Hurricane’ Coming at U.S. [read post]
1 Jun 2022, 2:33 pm
The legal operations community was barely nascent a decade ago. [read post]
1 Jun 2022, 9:16 am
Anthony DiDonna Equitable Advisors, LLC Travis Eiland HD Vest Insurance Services HD Vest Investment Services Jeremy Fortner Wells Fargo Clearing Services, LLC JP Morgan Chase Securities, LLC Marc Korsch Arkadios Capital Centaurus Financial, Inc. [read post]
25 May 2022, 9:01 pm
Over the past two years, U.S. public companies faced an unpredictable risk environment. [read post]
23 May 2022, 4:17 pm
Common examples can be found in financial service companies, like Bank of America and JP Morgan Chase, which are umbrella LLCs with plenty of subsidiaries. [read post]
19 May 2022, 7:05 am
Brito JP, Deng Y, Ross JS, Choi NH, Graham DJ, Qiang Y, Rantou E, Wang Z, Zhao L, Shah ND, Lipska KJ. [read post]
18 May 2022, 1:17 pm
(See: JP Morgan Securities Hit with $125 Million for Widespread Recordkeeping Failures) The SEC rep said the firm didn’t preserve the written communications, which is a violation of securities laws. [read post]
18 May 2022, 7:00 am
With the help of 33 Tarrant County law enforcement agencies, the Texas Department of Family and Protective Services, Cook Children’s Medical Center, JPS Health Network, Tarrant County Juvenile Services, and the Tarrant County Criminal District Attorney’s Office, Alliance For Children served 2,497children in 2020-2021. [read post]
17 May 2022, 5:00 am
” And they accuse JP Morgan and Goldman Sachs of engaging in the sales and trades of Russian debt on the secondary market. [read post]
12 May 2022, 8:21 am
Seems to me it high time for Pope Francis to speak up, He could take JP II as his example. [read post]
12 May 2022, 1:00 am
Peter Kalmus, a climate scientist at NASA’s Jet Propulsion Lab, was arrested in April for leading a protest against JP Morgan Chase’s continued investment in fossil fuels. [read post]
12 May 2022, 1:00 am
Peter Kalmus, a climate scientist at NASA’s Jet Propulsion Lab, was arrested in April for leading a protest against JP Morgan Chase’s continued investment in fossil fuels. [read post]
