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9 Aug 2023, 11:25 am
This violation is a common occurrence in the securities industry, for example in September 2022, the SEC charged 16 Wall Street firms with recordkeeping failures that ran each organization from $50-125 million each, totaling fines of $1.1 billion. [read post]
20 Jul 2023, 8:46 am
Ford Motor Company, Inc., --- F.4th ----, 2023 WL 4377585, No. 22-10575 (11th Cir. [read post]
14 May 2023, 7:07 pm
(Lingling Wei, "China Ratchets Up Pressure Campaign on Foreign Firms," Wall Street Journal 28 April 2023, p. [read post]
13 May 2023, 7:59 am
Congress enacted the so-called Durbin Amendment as part of the Dodd-Frank Wall Street Reform and Consumer Protection of 2010 in the wake of the Great Recession. [read post]
11 May 2023, 12:36 pm
HSBC and Scotiabank are not the first Wall Street companies to face penalties for employees’ use of personal devices and messaging apps since regulators launched a major probe into use of such platforms in 2021. [read post]
6 May 2023, 2:49 pm
There is a Wall Street aphorism that retail money is dumb money. [read post]
7 Apr 2023, 3:28 am
Simmons reports for the Wall Street Journal. [read post]
30 Mar 2023, 2:08 pm
The Wall Street Journal recently reported on the thousands of retired investors who are unable to withdraw more than $2 billion invested in firms controlled by Greg Lindberg. [read post]
29 Mar 2023, 6:41 am
We will continue monitoring the Manhattan investigation as it unfolds and update this chronology accordingly. *** Beginning around 2004: Former American Media Inc. [read post]
27 Mar 2023, 9:01 pm
This figure is significantly lower than in 2016, when the Delaware Court of Chancery effectively put an end to the practice of disclosure-only settlements in In re Trulia Inc. [read post]
28 Feb 2023, 12:46 pm
Q10: You were an associate producer and script editor for the 2013 movie “Assault on Wall Street. [read post]
24 Feb 2023, 6:55 am
Sorrento Therapeutics Inc., a clinical stage and commercial biopharmaceutical company, filed for bankruptcy on February 13, weeks after reportedly being hit with judgments totaling more than $173 million in a licensing dispute, according to the Wall Street Journal. [read post]
23 Feb 2023, 9:01 pm
” Whether the defendants held positions as executives of public companies, traders at Wall Street banks, founders of cryptocurrency companies, medical professionals, or high-ranking foreign officials, our prosecution teams pursued difficult cases through trial and conviction. [read post]
22 Feb 2023, 10:10 am
Meta Platforms Inc, the parent company of the Facebook group, faces a mass action brought on behalf of around 45 million Facebook users in Britain. [read post]
21 Feb 2023, 7:04 am
Weill was succeeded as Citigroup’s CEO by Peter Cohen, the youngest person ever to be at the helm of a major Wall Street firm. [read post]
21 Feb 2023, 6:11 am
Sachdev and his buyout clients have used this imbalance to convince lenders, like the credit units of private equity groups and Wall Street’s largest banks, to agree to lesser safeguards around debt levels and dividend payments on deals they help finance. [read post]
13 Feb 2023, 5:59 am
This sharpened focus was on display in President Biden’s March 1, 2022 State of the Union address, in which he noted that “as Wall Street firms take over more nursing homes, quality in those homes has gone down and costs have gone up. [read post]
3 Feb 2023, 4:49 am
Cloud reports for the Wall Street Journal. [read post]
1 Feb 2023, 9:01 pm
We saw this, for example, in the 2008 financial crisis, and have many recent examples of the continued phenomenon with companies such as FTX, Theranos, and WeWork. [read post]
25 Jan 2023, 6:13 am
”In an interview with the Wall Street Journal published Thursday Ray also said he has set up a task force to explore restarting FTX.com, the company’s international exchange. [read post]
