Search for: "Wall Street Financial Corporation"
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25 Aug 2011, 2:23 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act established a whistleblower program to be adopted by the Securities and Exchange Commission (SEC). [read post]
3 Mar 2010, 10:54 am
” See the Law Library’s New Arrivals Shelf for: The Match King: Ivar Kreuger, The Financial Genius Behind a Century of Wall Street Scandals (Public Affairs) (HD 9660 .M473 S864 2009) and F.I.A.S.C.O. : Blood in the Water on Wall Street (W.W.Norton) (HG 6024 .U6 P37 2009b). [read post]
1 Mar 2011, 12:00 am
He is the co-author, with the late Louis Loss and with Troy Paredes, of the 11-volume Securities Regulation, the leading treatise in the field, and author of The Transformation of Wall Street: A History of the Securities and Exchange Commission and Modern Corporate Finance. [read post]
5 Apr 2011, 7:40 am
The pay offered by Wall Street, even in these supposedly chastened times, dwarfs a regulator’s salary, and the excitement of Wall Street is irresistible to many. [read post]
10 Nov 2010, 11:49 am
The Dodd-Frank Wall Street Reform Act, passed in July, provides that those who submit “original information” leading to a penalty for an FCPA violation of over $1 million may receive between 10 and 30 percent of that collection. [read post]
18 Jan 2007, 7:25 pm
ohn Plender, Financial Times columnist and co-author of a new book on finance and ethics, makes a compelling economic case for continuing the fight for good business behaviour While European business can learn about good ethics from the United States, EU executives can also take much from American errors, John Plender told Ethical Corporation's Sustainable Finance Summit in November.Making a keynote speech at the London conference, which covered a wide range of ethical… [read post]
14 Dec 2020, 11:09 am
Swaps regulator Gensler: Banker turned Wall Street scourge. [read post]
20 Mar 2016, 1:15 pm
Late last year, The Wall Street Journal reported on a survey by the Association of Corporate Counsel (“ACC”) that found “employee error” is the most common reason for a data breach. [read post]
19 Jan 2018, 12:48 pm
Professional Corporations and LLCs [read post]
2 Apr 2018, 7:42 am
Sources: Insider trading has been rife on Wall Street, academics conclude in The Economist Political connections and the informativeness of insider trades by Alan D. [read post]
14 Jul 2011, 3:25 pm
"The corporate crime defense bar has this down to a science," said Russell Mokhiber, the editor of Corporate Crime Reporter, a publication that tracks prosecutions. [read post]
29 Jan 2016, 6:00 am
Banks Cut Off Mexican Clients, as Regulatory Pressure Increases by Rachel Louise Ensign, Emily Glazer and Amy Guthrie in the Wall Street Journal At issue are correspondent-banking relationships that allow Mexican banks to facilitate cross-border transactions and meet their clients’ needs for dealing in dollars—in effect, giving them access to the U.S. financial system. [read post]
2 Aug 2010, 11:17 am
The collapse was due in large part to risky bets, excessive leverage, and years of financial excess by corporate executives. [read post]
31 Aug 2007, 1:05 am
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New Deals Thursday, August 30, 2007 By Beth Bar "Bank of America Corp. has agreed to invest $2 billion in Countrywide Financial Corp. as Countrywide, the nation's largest mortgage lender, tries to stay afloat amidst a credit crunch that has riled Wall Street and the mortgage industry. [read post]
21 Sep 2015, 2:54 pm
“Well, you know what happens is, it starts out with you taking a little bit, maybe a few hundred, a few thousand,” Wall Street fraudster Bernie Madoff’s secretary told Vanity Fair. [read post]
31 Aug 2016, 8:34 am
“Accurate disclosures about financial advisers’ fairness opinions are important to shareholders in the sale of a corporation,” said Andrew J. [read post]
14 Nov 2011, 3:26 pm
The Dodd-Frank Wall Street Reform and Consumer Protection Act was aimed at correcting a number of problems relating to the market woes of the last few years. [read post]
15 Dec 2008, 11:02 pm
The investment world was shocked when Bernard Madoff, a Wall Street icon for decades, was arrested and charged with running a $50 billion "Ponzi scheme," a term he himself reportedly used to describe his empire. [read post]
14 Jul 2008, 5:51 pm
Federal prosecutors are investigating whether two former Credit Suisse Group brokers lied to clients about their investments into auction-rate securities, the Wall Street Journal reports. [read post]
3 Apr 2014, 4:22 pm
“On December 10, 2013, more than two years after the statutorily mandated deadline, five federal financial regulators published final regulations (hereinafter, the regulations) implementing Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (hereinafter, Section 619 or the statute). [read post]
