Search for: "Wall Street Financial Corporation"
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15 Nov 2009, 8:11 pm
That’s Main Street, and Wall Street is a bit more politically juiced. [read post]
5 Jun 2010, 10:25 am
It has been difficult to go more than a few days with no headlines from The Wall Street Journal or Financial Times, or our alerts or those from other industry players, keeping you aware of the latest twists and turns on the status of governance-related legislation. [read post]
2 Oct 2020, 12:39 pm
Our attorneys represent investors in class actions against issuers in state or federal court as well as investors in securities arbitration claims against Wall Street firms for stockbroker misconduct. [read post]
15 Jul 2010, 11:05 am
The legislation, which is known as the “Dodd-Frank Wall Street Reform and Consumer Protection Act," includes mandates for “say on pay” and “golden parachute” votes by shareholders, as well as authorization for the SEC to adopt a proxy access rule. [read post]
7 Aug 2013, 9:30 pm
Bair’s remarks drew on her recent book, Bull by the Horns: Fighting to Save Main Street from Wall Street and Wall Street from Itself. [read post]
7 May 2009, 7:41 pm
A recent Wall Street Journal article demonstrates how being tech-savvy doesn't mean that you're necessarily compliance-savvy.An eBay Inc. effort to broaden communication through the popular Twitter Web-messaging service highlights the hurdles facing corporate users of online social media. [read post]
25 Apr 2022, 12:32 pm
The Internal Revenue Service (IRS) is investigating American Express over allegations that it pitched a questionable tax break to clients, the Wall Street Journal reports. [read post]
10 Apr 2010, 3:36 pm
Wall Street firms had marketed and sold Main Street Natural Gas Bonds as conservative, safe municipal bonds when, in fact, they were Lehman Brothers-backed complex derivative securities. [read post]
8 Feb 2012, 6:40 am
A recent acquisition approval order of the Board of Governors of the Federal Reserve System (the “FRB”) provides the first analysis of the “financial stability” factor in Section 604(d) of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”). [read post]
2 Jun 2010, 8:52 am
Whalen (quoted above), the Eastern Financial insolvency illustrates why regulators should make Wall Street adhere to concepts of suitability for institutions as well as individuals. [read post]
18 Feb 2011, 7:26 am
The WSJ’s Gina Chon and Anupreeta Das report Friday on the reverberations a recent ruling made by Laster is having on Wall Street. [read post]
17 Jun 2009, 7:24 am
My friend David at It's Not a Lecture tipped me off last night that President Obama was going to announce new financial regulatory efforts to help prevent the Wall Street shenanigans that have put us in our current economy and to better protect American consumers.As someone who spent a bunch of years at the Securities and Exchange Commission, I'm all for trying to find ways to keep the Bernie Madoff's of the world at bay. [read post]
19 Apr 2021, 9:03 pm
Brummer offers a more plausible partial explanation: Working on Wall Street or for Big Tech could disqualify potential nominees or hires as politically undesirable, which could have a disproportionate impact on Black candidates. [read post]
6 Oct 2008, 3:20 am
Darian Ibrahim says:The instruments of financial innovation that have recently dominated Wall Street -- mortgage-backed securities, credit default swaps, and other "derivatives" -- are exceedingly complex (resulting in overreliance on credit rating agencies), do not create new value (but merely repackage existing value to capture larger gains for the financial product's buyer or seller), and are often built on flawed financial… [read post]
15 Dec 2009, 11:17 am
House of Representatives passed legislation to restructure the financial services regulatory system, the Wall Street Reform and Consumer Protection Act of 2009 (HR 4173), by a vote of 223-202. [read post]
19 Dec 2019, 12:57 am
First Financial Equity Corporation and Securities ... [read post]
27 Nov 2021, 7:18 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6191/securities-industry-commentator/SEC Obtains Final Judgment Against Kirk Sperry and Sperry and Sons Capital Investments, LLC in Offering Fraud (SEC Release)Former CEO Of Real Estate Private Equity Investment Firm Sentenced To 5 Years In Prison For $58 Million Securities Fraud (DOJ Release)Texas Man Sentenced to 12 Years in Prison for… [read post]
7 Aug 2023, 4:51 am
Latest Round of Wall Street Regulatory Idiocy: Zipper/Dakota v. [read post]
5 Apr 2017, 6:33 am
As I write these last words from the bunker, I warn you, beware of the FINRA cohorts now embedding themselves in the infrastructure of Wall Street! [read post]
27 Dec 2016, 1:28 pm
[Wall Street Journal] * Parole judge charged with assault for slugging a public defender. [read post]
