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Morgan Stanley to pay $35M to Settle SEC Charges over Customer Information

20 Sep 2022, 11:02 am by The White Law Group

Further, over several years, Morgan Stanley allegedly failed to properly monitor the moving company’s work, according to the SEC. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

White Collar: DOJ Revises Corporate Criminal Enforcement Policies

20 Sep 2022, 3:30 am by John Jenkins

According to this Morgan Lewis memo, the changes are being billed by the DOJ as “one of the most comprehensive overhauls of corporate enforcement in years, build on existing policies in an attempt to further DOJ’s current tough-on-white-collar-crime approach. [read post]

TheCorporateCounsel.net Blog - http://www.thecorporatecounsel.net/Blog/

INSANE: Apple benefited from Paycheck Protection Program for small businesses in early stage of pandemic through ACT | The App(le) Association

19 Sep 2022, 10:35 pm by Florian Mueller

I actually agree on the last point: regulatory and legislative action in this area should be designed to benefit companies of all sizes, and a Lex Spotify wouldn't be in our interest. [read post]

FOSS Patents - http://www.fosspatents.com

Magic Words Still Matter, and Equitable Defenses Can’t Save a “Void” Transfer

19 Sep 2022, 4:25 am by Peter J. Sluka

Morgan Stanley, Gabriel, and Holifield further agreed that XRI would loan $10 million to Entia, another company that Holifield owned, secured by Holifield’s interest in XRI (the “XRI Loan”). [read post]

New York Business Divorce - http://www.nybusinessdivorce.com/

News You Can Use Digest – September 9, 2022

9 Sep 2022, 4:00 am by Jim Sedor

The Office of the Registrar of Consultant Lobbyists announced the outcome of its investigation into the Earl of Shrewsbury, whose full name is Charles Henry John Benedict Crofton Chetwynd Chetwind-Talbot, and his company Talbot Consulting. [read post]

Lobby Comply Blog - https://stateandfed.com/lobbycomply/feed

Elon Musk Can Use Twitter Whistleblower Allegations in Case But Can’t Delay Trial, Judge Rules

8 Sep 2022, 11:35 am by Ana Popovich

On August 29, Musk subpoenaed Zatko and requested “documents and communications on the company’s spam and alleged security vulnerabilities,” according to a Reuters article. [read post]

Whistleblower Protection Blog - http://www.whistleblowersblog.org/

Ameriprise Advisor Dusty Sternadel Allegedly Misappropriated Client Funds

7 Sep 2022, 12:11 pm by The White Law Group

According to her FINRA BrokerCheck report, Ameriprise reportedly terminated Sternadel in July 2022 for “violation of company policies related to misappropriation of client funds. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

The Politics of Values-Based Investing

7 Sep 2022, 6:30 am

” Similarly Morgan Stanley touts its sustainable equity funds as outperforming their traditional peer funds. [read post]

Harvard Law School Forum on Corporate Governance - https://corpgov.law.harvard.edu

SEC Charges A.G. Morgan Financial Advisors, Two Execs with Fraud

2 Sep 2022, 9:24 am by The White Law Group

Morgan Financial Advisors, Two Execs with Fraud appeared first on The White Law Group. [read post]

The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/

Early Edition: September 1, 2022

1 Sep 2022, 4:28 am by Emma Snell

Morgan Chalfant reports for The Hill. [read post]