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23 Jun 2022, 3:51 pm by Geoff Schweller
In April, the SEC announced settled charges against David Hansen, co-founder and former Chief Information Officer of the technology company NS8, Inc., for impeding an individual from communicating with the SEC about potential securities violations. [read post]
29 Oct 2012, 4:52 pm
For the past two years, I have served as the special issue editor for the Law Practice Management section, working with George B. [read post]
4 Dec 2015, 5:27 am by Adam Weinstein
All brokers are under an obligation to first discuss trades with the investor before executing them under NYSE Rule 408(a) and FINRA Rules 2510(b). [read post]
18 Apr 2011, 1:19 pm by James Hamilton
In a letter to David Massey, Deputy Securities Administrator of the North Carolina Securities Division, and President of the North American Securities Administrators Association, Robert Plaze, Associate Director in the Division of Investment Management said that the delay, if it occurs, will be intended to give hedge fund and private equity fund advisers the time they need to register and come fully into compliance with the obligations applicable to them once they are registered with the… [read post]
5 Nov 2009, 9:12 pm
’” Lawyers: Joseph Kilada (defendant); AUSAs David Bitkower, Elizabeth Latif, William Schaeffer [read post]
12 Sep 2016, 2:52 pm by Michael Kraut
In California, the state’s Harbors and Navigation Code 655(b) addresses the penalties for BUI. [read post]
26 Apr 2011, 12:44 pm by law shucks
Tumblr founder David Karp was irate. [read post]
11 Mar 2010, 11:25 am by Rumpole
Chief Judge Tricky Vic Tobin is losing administrators faster than embattled NY Governor David Patterson. [read post]
27 Dec 2019, 1:14 pm by Wendy Lindars
Frazier, La Vergne Charles Higgins, Burch, Porter & Johnson, PLLC, Memphis Brooke Hyman, Memphis City Council, Memphis Troy Jones, Law Office of Troy B. [read post]
16 Jul 2015, 8:38 pm by David Benenfeld
Although driving is an activity to get from Point A to Point B, driving can also be the most dangerous thing you do every day. [read post]
11 Jun 2010, 11:30 am by azatty
Distinguished Public Lawyer Award – David L. [read post]