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24 Jul 2018, 10:33 am
William Hawkins' 1716 treatise explained that "no wearing of Arms is [read post]
23 Jul 2018, 3:00 am
The event will include the launch of a new CSIS report by Jen Daskal and William Carter, keynote remarks by Sen. [read post]
21 Jul 2018, 3:00 am
Clarence Darrow was the nation’s most famous defense attorney and his co-counsel was Dudley Field Malone, another noted attorney. [read post]
20 Jul 2018, 1:23 pm
Charles Schwab & Co., 2014 FINRA Discipl. [read post]
20 Jul 2018, 1:23 pm
Charles Schwab & Co., 2014 FINRA Discipl. [read post]
19 Jul 2018, 6:30 am
Public Co. [read post]
18 Jul 2018, 10:00 pm
William Galvin, the Secretary of the Commonwealth of Massachusetts – a total of 10 broker-dealers will be subjected to regulatory inquiry. [read post]
17 Jul 2018, 2:25 pm
Former NYPD Police Commissioner William J. [read post]
17 Jul 2018, 9:33 am
Merrill Lynch agreed to settle the charges, admit wrongdoing, and pay a $42 million penalty.Wells Fargo Advisors Settles SEC ChargesWells Fargo Advisors LLC agreed to settle charges of misconduct in the sale of financial products known as market-linked investments, or MLIs, to retail investors.SEC Charges Credit Ratings Analyst and Two Friends with Insider TradingThe SEC charged a credit ratings agency employee with tipping two friends about The Sherwin-Williams Co. [read post]
16 Jul 2018, 5:53 pm
Co. [read post]
15 Jul 2018, 9:01 pm
Now that Silicon Valley venture capitalist Tim Draper has submitted a sufficient number of signatures for his bid to split California into three separate states—Cal3, as it is called—to qualify for the November general election ballot, commentators are beginning to discuss the political and legal obstacles the measure faces—hurdles I flagged and analyzed in a number of Verdict columns, including here and here.Among the legal stumbling blocks currently being talked about is the… [read post]
14 Jul 2018, 6:53 am
William Hinman, Director for the Division of Corporation Finance of the U.S. [read post]
12 Jul 2018, 9:01 pm
It looks like Justice Anthony Kennedy will be replaced by one of his former clerks, DC Circuit Judge Brett Kavanaugh. [read post]
12 Jul 2018, 8:54 am
All of the panelists were encouraged by the recent comments of SEC Corporation Finance Director William Hinman at the Yahoo All Markets Summit where he indicated that a security token can transform into a utility token, as in the case of Ether. [read post]
11 Jul 2018, 1:44 pm
A second defendant charged in the indictment – William Jason Plumley of Huntington Beach – is alleged to have sold both prescriptions written by Dr. [read post]
11 Jul 2018, 8:25 am
Boston Capital Corporation, Bolton Global Capital, Advisory Group Equity Services, Moors & Cabot, Detwiler Fenton & Co., BTS Securities Corporation, and Winslow, Evans & Crocker. [read post]
10 Jul 2018, 9:01 pm
Stevens Professor of Law at Cornell University and co-author, most recently, of Beating Hearts: Abortion and Animal Rights. [read post]
10 Jul 2018, 3:57 am
Currently, Szczepanik serves as the Head of the SEC’s Distributed Ledger Technology Working Group, Co-Head of the Dark Web Working Group, and a member of the FinTech Working Group. [read post]
9 Jul 2018, 11:28 pm
The judge, however, decided not to award an additional $250 million which was claimed against Oculus co-founders. [read post]
9 Jul 2018, 12:43 pm
According to FINRA Disciplinary actions for June 2018, 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 Donald Nelson Bower III Edward Jones Invest Financial Corp Christopher Masharn Bruce Statefarm VP Management Corp Chris Bruce Insurance Agency … [read post]
