Search for: "Wall Street Financial Corporation"
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20 Sep 2010, 3:11 am
On July 21, 2010, President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Act”), the most comprehensive financial regulatory reform legislation in… Read this entire article for free, simply activate your free 15 day trial access to Securities Regulation & Law Report now. [read post]
15 Mar 2012, 3:00 am
Why are the taxpayers paying for the fraudulent phony financial products that Wall Street re-packaged and sold as investable financial instruments? [read post]
19 Sep 2010, 6:17 pm
The Wall Street Journal has posted an article about the unexpected dangers of "professional" credit cards, which are typically used by small businesses or corporations. [read post]
15 Jul 2010, 1:11 pm
This act includes quite a few provisions which are intended to help employees report fraud on Wall Street. [read post]
8 Mar 2017, 6:35 am
State Street Global Advisors conspired in the middle of the night to drop a statue in Bowling Green Park of a girl facing off against the famous Wall Street Charging Bull. [read post]
19 Apr 2019, 8:00 am
Yet they also quietly steered their robber baron clients away from a “public be damned” attitude toward more enlightened corporate behavior during a period of progressive, turbulent change in America.Author John Oller, himself a former Wall Street lawyer, gives us a richly-written glimpse of turn-of-the-century New York, from the grandeur of private mansions and elegant hotels and the city’s early skyscrapers and transportation systems, to the depths of… [read post]
29 Aug 2022, 7:33 am
”The resolution is the latest in a chain of attacks on what the governor’s office calls “the ESG mania taking hold of Wall Street and Washington. [read post]
2 Apr 2015, 7:32 am
The Wall Street Journal reported in February, In recent weeks the agency has sent letters to a number of companies asking for years of nondisclosure agreements, employment contracts and other documents, according to people familiar with the matter and an agency letter viewed by The Wall Street Journal. [read post]
31 Mar 2014, 4:04 pm
Wall Street banks are pressing outside law firms to demonstrate that their computer systems are employing top-tier technologies to detect and deter attacks from hackers bent on getting their hands on corporate secrets either for their own use or sale to others, said people briefed on the matter who spoke on the condition of anonymity. [read post]
15 Nov 2010, 9:37 am
Topics included the new Consumer Financial Protection Bureau, Community Banks, Whistleblowers, Corporate Governance and the regulation of Consumer Credit. [read post]
24 Jul 2009, 11:03 am
The controversy and danger surrounding these products was featured in recent articles in the Wall Street Journal ("FINRA Urges Caution on Leveraged Funds," by Daisy Maxey), and InvestmentNews ("Leveraged ETFs: Handle with care"), and in Regulatory Notice 09-31 published by the Financial Industry Regulatory Authority (FINRA). [read post]
7 Sep 2012, 2:36 pm
Law's Big Weapon Sits Idle, by Michael Rapoport, The Wall Street Journal, July 29, 2012 See Our Related Blog Posts: The Hypocrisy Behind Corporate Attacks on SEC Whistleblower Program New SEC Whistleblower Office Helps Foster Uptick in Whistleblower Activity [read post]
29 May 2014, 7:22 am
Eileen Appelbaum and Rosemary Batt tried to take an academic look at private equity firms and published their results in Private Equity at Work: When Wall Street Manages Main Street. [read post]
10 Dec 2007, 7:01 pm
Morgan Stanley has became the first major Wall Street firm to predict that the U.S. economy will fall into recession. [read post]
14 Dec 2009, 1:21 am
House of Representatives approved by a 223-202 vote "The Wall Street Report and Consumer Protection Act of 2009," H.R. 4173 (here). [read post]
15 Aug 2007, 6:07 pm
Henry Kaufman has a superb piece on the opinion page of the Wall Street Journal today, August 15, 2007, on the fundamental causes of the credit crunch. [read post]
27 Aug 2010, 9:52 am
Some judges are starting to question lenient settlement deals proffered by Wall Street firms and their arguably captive regulator, the SEC, according to an August 19, 2010 article in the Wall Street Journal by David Weidner called “In Search Of Justice for Wall (Street). [read post]
16 Dec 2010, 6:40 am
It is important to remember that most Wall Street firms were partnerships before they became corporations. [read post]
10 Dec 2018, 12:00 am
(Editorial Board, Bloomberg; Michael Wursthorn and Gregory Zuckerman, Wall Street Journal). [read post]
3 Jan 2012, 3:29 pm
As reported by the The Wall Street Journal and other news sources last week, documents released by the Florida Attorney General's Office provide an insider's glimpse into the Florida state qui tam action against Bank of New York Mellon Corporation (Mellon Bank). [read post]
