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27 Feb 2021, 5:01 am
["[O]nce a matter is brought before a court for resolution, it is no longer solely the parties' case, but also the public's case. [read post]
26 Feb 2021, 6:06 pm
"[R]idicule and simple verbal abuse" do not give rise to liability for defamation. [read post]
26 Feb 2021, 4:17 pm
But the government points out that just because he can't be punished doesn't mean he isn't still in the matter. [read post]
26 Feb 2021, 1:56 pm
The Blog/Web Site should not be used as a substitute for legal advice from a licensed professional attorney in your state regarding a particular matter. [read post]
26 Feb 2021, 12:49 pm
But no matter what tools you’re using, there always comes the […] [read post]
26 Feb 2021, 7:20 am
No matter how you look at it, the result is a far cry from what the CDC announced. [read post]
26 Feb 2021, 6:39 am
This requires not only a certain level of authority and independence, but also deep financial crime subject matter expertise combined with a working knowledge of regulatory expectations, investigative rigour and internal stakeholder management. [read post]
26 Feb 2021, 5:02 am
"That makes me think of Justice Jackson's famous line, one of the most important points about freedom of speech: "If there is any fixed star in our constitutional constellation, it is that no official, high or petty, can prescribe what shall be orthodox in politics, nationalism, religion, or other matters of opinion or force citizens to confess by word or act their faith therein. [read post]
25 Feb 2021, 9:06 pm
It paid $19.35 million in fines, forfeiture, and civil settlement payments — the second-largest amount ever paid in resolution of a food safety matter — to put the matter behind the company once and for all. [read post]
25 Feb 2021, 3:05 pm
I anticipated that the case would be referred to a hearing officer to determine the matter by way of a formal decision, and predicted that Dr Thaler’s rather unconventional assertions that an AI can be an inventor, and that he is entitled to receive any resulting patents by virtue of ownership of the AI, were unlikely to be accepted by the Patent Office. [read post]
25 Feb 2021, 12:17 pm
The surprising thing about the matter is not that the Respondent got caught but the nature of FINRA's sanctions of the misconduct.Case In PointFor the purpose of proposing a settlement of rule violations alleged by the Financial Industry Regulatory Authority ("FINRA"), without admitting or denying the findings, prior to a regulatory hearing, and ... [read post]
25 Feb 2021, 12:17 pm
SEC Awards Over $500,000 to Two Whistleblowers (SEC Release)FINRA Censures and Fines Member for Supervisory IssuesIn the Matter of Louis Capital Markets, LP (n/k/a Louis Capital Markets, LLC), Respondent (FINRA AWC)Small World (Opening Remarks for the FinTech Panel at the Institute of International Bankers 2021 Annual Washington Conference by SEC Commissioner Hester M. [read post]
25 Feb 2021, 12:17 pm
As Time Goes By At FINRA And TradeStation (BrokeAndBroker.com Blog)2021 Examination Priorities (SEC Division of Examinations)FINRA Fines and Suspends Rep Over Private Securities TransactionsIn the Matter of Richard Scott Shelley, Respondent (FINRA AWC)FINRA Censures and Fines Member Firm Over AMLIn the Matter of ITG, Inc., Respondent (FINRA AWC)... [read post]
25 Feb 2021, 12:02 pm
It’s about a tax matter and I really need to know, so today, instead of gnashing my teeth, I’m going to do the unthinkable. [read post]
25 Feb 2021, 9:23 am
R. [read post]
25 Feb 2021, 8:26 am
For example, Senator Lindsay Graham (R-SC) has supported limiting mandatory arbitration agreements under the right circumstances. [read post]
25 Feb 2021, 7:20 am
Strategically centered in Washington, our Government Investigations and White Collar team has been honored as a Law360 Practice Group of the Year and has earned the trust of international companies and individuals through some of the most notable enforcement matters over the last decade. [read post]
25 Feb 2021, 6:18 am
Strategically centered in Washington, our Government Investigations and White Collar team has been honored as a Law360 Practice Group of the Year and has earned the trust of international companies and individuals through some of the most notable enforcement matters over the last decade. [read post]
25 Feb 2021, 5:01 am
The Eleventh and Ninth Circuits recognize a broad right to record matters of public interest. [read post]
25 Feb 2021, 5:00 am
In this matter, the Plaintiff alleged that teachers, the school nurse, and other school personnel attended to the Plaintiff on the day of her injury. [read post]
