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20 Nov 2015, 3:00 am by Broc Romanek
The highlights include: – 4000 whistleblower during the 2015 fiscal year, an increase of 30% over 2012 – Paid more than $54 million to 22 whistleblowers since 2011 – Paid $37 million in 2015 fiscal year alone – Nearly 50% of award recipients were current/former employees (of which 80% relayed their concerns internally before reporting to the SEC) – 20% of award winners submitted their information anonymously to the SEC through counsel – 20% of the awards were… [read post]
31 Dec 2010, 8:41 pm
Ernesto Zuniga Gomez, previously with Merill Lynch, Pierce, Fenner & Smith Incorporated in San Diego, CA, was named as a respondent in a FINRA complaint alleging that he created Verbal Authorization Forms (VAFs) that falsely represented that clients had given him verbal authorization to transfer client funds from their account to other client accounts, thereby misusing customer funds. [read post]
16 May 2014, 5:35 am by Jane Chong
Former Disney child star Brock Pierce was elected head of the nonprofit Bitcoin Foundation last week, leading 10 members to resign. [read post]
7 Oct 2009, 3:53 am
At the same time, the bank dismissed deputy general counsel David Onorato, chief of litigation and securities inquiries. [read post]
26 Mar 2009, 9:48 am
Jim Luker of Wynne, David Johnson of Little Rock and Robert Thompson of Paragould expressed reservations that the chemicals' names, amounts and procedures wouldn't be available for public inspection. [read post]
26 Jun 2015, 2:39 am by Amy Howe
Commentary on yesterday’s decision in King comes from Laurence Tribe in The Boston Globe, Linda Greenhouse in The New York Times, Adam Zimmerman at PrawfsBlawg, Howard Wasserman at PrawfsBlawg, Richard Re at PrawfsBlawg, Jeremy Leaming at ACSblog, Richard Pierce at the George Washington Law Review’s On the Docket, Kent Scheidegger at Crime and Consequences, Leland Beck at the Federal Regulations Advisor, Lisa Keen of the Keen News Service, Joan Krause at Hamilton and Griffin on… [read post]
16 Oct 2016, 9:30 pm by Caesar and Napoli, P.C.
Loren, David M.D. and team, “Disclosure, Apology, and the Sharp End,” Journal on Quality and Patient Safety, Volume 36, March 2010. [read post]
15 Jan 2016, 3:48 am by Broc Romanek
IV: Rank & File Employees Brooks Pierce’s David Smyth uses cartoons to teach what how rank & file employees can trip up the insider trading laws: – Broc Romanek [read post]
21 Jul 2017, 2:37 pm by Jack Sharman
  As described by IMDb: David Barrett [a young-looking Lee J. [read post]
30 Dec 2013, 10:38 pm by Kevin O'Keefe
Look at: Robin Shea of Constangy, Brooks, and Smith, publisher of the Employment and Labor Insider Charles Reed of Looper Reed, publisher of Energy and the Law Brooks Pierce’s David Smith and his Cady Bar the Door Bill Ruskin of Epstein Becker Green, publisher of the Toxic Tort Litigation Blog Steptoe and Johnson’s Steptoe Cyber Blog and Skating on Stilts, published by its partner, Stewart Baker, the former general counsel of the NSA. [read post]
28 Apr 2009, 5:47 am
Their sense of entitlement and refusal to follow corporate dictates blindly - not to mention a couple of tattoos or piercings, - make them very different than their colleagues. [read post]
4 Jan 2021, 12:05 pm by Silver Law Group
Morgan Securities LLC   Jon Foster   Wells Fargo Clearing Services, LLC   Mark Grenier   David Lerner Associates, Inc. [read post]
26 Mar 2012, 12:44 am by David Zaring
Piercing The Corporate Veil: An Empirical Study, 1991 76 Cornell L. [read post]