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7 May 2020, 6:19 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5215/securities-industry-commentator/SEC Charges Morgan Stanley Smith Barney With Providing Misleading Information to Retail Clients / Settlement Will Create $5 Million Fund to Benefit Harmed Investors (SEC Release)FINRA Imposes Fine and Suspension for Rep's Transmittal of Customer Documents Via EmailIn the Matter of Sune Gaulsh, Respondent… [read post]
9 Apr 2013, 11:25 pm
Smith, Kaiba L. [read post]
6 Oct 2016, 11:29 am
Contents include:Szilárd Gáspár-Szilágyi, A Standing Investment Court under TTIP from the Perspective of the Court of Justice of the European Union Robert Basedow, A Legal History of the EU’s International Investment Policy Kyle Dylan Dickson-Smith, Does the European Union Have New Clothes? [read post]
15 Oct 2021, 12:10 pm
Case in PointOn July 30, 2021, Morgan Stanley Smith Barney LLC filed an action in the United States District Court for the District of Oregon ("DOR") against former employee Robert Sevcik asserting breaches of contract and of the duty of loyalty. [read post]
14 Nov 2016, 4:00 am
From SSRN:Steven Douglas Smith, Naturalism and the Trajectory of History, (San Diego Legal Studies Paper No. 16-229 (2015)).Charles J. [read post]
2 Aug 2015, 2:02 pm
Seth Stoughton (South Carolina) organized this great panel and Alex Kreit (Thomas Jefferson), Frank Snyder (Texas A&M), Carissa Hessick (Utah), Doug Berman (OSU), Tessa Davis (South Carolina), Suzan Rochelle (Stetson), Arnold Lowey (Texas Tech), Brenda Smith (American U.), Susan Rozelle (Stetson), Caprice Roberts (Savannah) and Andy Wright (Savannah) and some others I am forgetting participated...sorry guys) What did I learn about vice? [read post]
25 Apr 2015, 4:21 am
Ustian, Robert C. [read post]
15 Jan 2014, 11:00 am
Smith Goes to Washington," experts in constitutional law and legal history (Kenji Yoshino, Robert Post, and Linda Greenhouse) examine the interplay between the U.S. [read post]
1 Jun 2020, 2:04 am
FINRA Orders Merrill Lynch, Pierce, Fenner & Smith Inc. to Pay $7.2 Million in Restitution to Customers Overcharged for Mutual Funds (FINRA Release)FINRA Imposes Fine and Suspension for Rep's Facilitation of Customer's Son-In-Law's Account Withdrawals.In the Matter of Robert Silverman, Respondent (FINRA AWC)SEC Awards Record Payout of Nearly $50 Million to Whistleblower / Whistleblower Program Reaches $500 Million in Total Awards (SEC Release)Investment Advisor… [read post]
26 Mar 2022, 3:38 pm
Smith. [read post]
24 Jun 2011, 7:27 am
Pierce and Smith have battled ever since. [read post]
15 Jul 2011, 10:32 am
Robert McGill now faces a maximum sentence of life in prison. [read post]
10 May 2008, 9:58 pm
Two Republican members of the House of Representatives, John Boehner (R-OH) and Lamar Smith (R-TX) recently suggested that Congress has ignored the steadily unfolding scandal and call for a hearing. [read post]
4 Jan 2015, 12:22 pm
Smith, Robin M. [read post]
29 Oct 2017, 2:13 am
We ran a very successful workshop on Friday with David Smith on HMOs at the Cambridge Belfry Hotel – a new venue for us. [read post]
21 Oct 2020, 7:10 am
Here’s a round-up of Supreme Court-related news and commentary from around the web: Barrett was trustee at private school with anti-gay policies (Michelle Smith & Michael Biesecker, Associated Press) Supreme Court split in Pa. election case raises questions about how a Justice Barrett would rule (Seung Min Kim & Robert Barnes, The Washington Post) Supreme Court’s Pennsylvania mail ballot ruling tees up test for Barrett (John Kruzel, The Hill) Poll: Majority says… [read post]
11 Feb 2014, 6:26 am
Marshall, which memorably opened with Chief Justice Roberts quoting from Bleak House. [read post]
16 Feb 2009, 2:27 am
Judge Robert B. [read post]
8 Jun 2010, 1:04 pm
Kirk Roberts, found the baby while responding to a report that an infant was left alone in a car in the 2000 block of Natchez Drive. [read post]
11 Jul 2022, 10:37 am
Robert Merten III, Yoni Fix (Reed Smith) and Jodie Scott (KPMG) will present on the topic, “Specific Sourcing/Apportionment Issues for Tech Companies for Income Tax Purposes” on August 10. [read post]
