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1 Aug 2022, 4:04 am
GUEST BLOG: [In]Securities: Lip Service: The SEC, Reg S-ID, and the Majestic Equality of Regulation by Aegis Frumento Esq (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6592/aegis-frumento-insecurities-identity-theft/In settling three Reg S-ID cases on the same day last July, the SEC fined JP Morgan $1.2 million; UBS $925,000; and TradeStation $425,000. [read post]
11 Nov 2014, 9:00 am
Morgan Chase was hacked into recently. [read post]
29 Jan 2015, 9:38 am
Martha Minow, Morgan and Helen Chu Dean and Professor of Law, Harvard Law School with comments by Martha Nussbaum, Aziz Huq, and Michael Schill What role if any should forgiveness play in law and legal systems? [read post]
14 Jun 2021, 10:00 pm
Now, after a second-quarter SPAC and initial public offering (IPO) slowdown, the outlook for summer SPACs has rebounded just in time for the Morgan Lewis Global Public Academy program, Going Public Through a SPAC: Current Issues for SPAC Sponsors and Private Companies 2021. [read post]
24 Apr 2024, 2:00 am
Morgan Securities, and used that “inside information” to purchase stocks which ultimately netted some $650,000 in “illicit profits. [read post]
16 May 2025, 1:35 pm
The Office announced in late March that Acting USPTO Director Coke Morgan Stewart would be taking over requests for discretionary denial of inter partes review (IPR) or post grant review (PGR) proceedings under a new bifurcated process. [read post]
18 Jul 2022, 10:00 pm
In the Automotive and Mobility Industry Group at Morgan Lewis, our lawyers are tracking these industry metrics as well as the current and future regulatory landscape for micromobility devices. [read post]
16 Jan 2025, 10:00 pm
Morgan Lewis’s data centers team is available to discuss the EO and assist with data center development and related issues. [read post]
28 Feb 2024, 12:00 am
If you believe your employer is retaliating against you after you filed a worker’s compensation claim, you should speak with an experienced Morgan Hill, CA workers’ compensation lawyer to arm yourself with the information you need to be empowered in your case. [read post]
12 Feb 2022, 7:37 am
FINRA Sanctions Another Morgan Stanley Rep for Commissions Earned Under Joint Production Agreement (BrokeAndBroker.com Blog)SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations (SEC Release)Senior Investors / FINRA Adopts Amendments to FINRA Rule 2165 / Effective Date: March 17, 2022 (FINRA Regulatory Notice 22-05 / February 15, 2022)Former CFO of Boston Grand Prix Sentenced to Four Years in Prison for Fraud and Tax Schemes that Netted Almost $2 Million /… [read post]
9 Oct 2024, 12:53 pm
She was a Partner at Morgan, Lewis & Bockius LLP from 2017 to 2019 and an Associate there from 2011 to 2017. [read post]
21 Jun 2022, 4:24 am
Later, Morgan Stanley Dean Witter put out whoppers for its fledgling online broker, Discover Brokerage. [read post]
26 Mar 2025, 2:41 pm
This afternoon, United States Patent and Trademark Office (USPTO) Acting Director Coke Morgan Stewart sent a memorandum to all Administrative Patent Judges (APJs) of the Patent Trial and Appeal Board (PTAB) detailing a new interim process for workload management. [read post]
11 May 2021, 10:30 pm
Available via: Video – https://youtu.be/JluOwGBASyU Audio Soundcloud – https://soundcloud.com/user-144902971/2021-05-05-costs-chat-with-friends-andrew-hogan-with-jeremy-morgan-qc-and-andy-ellis Audio Spotify – https://open.spotify.com/episode/4xffxvZwu6CN2l4RbCgkc1? [read post]
25 Aug 2009, 9:01 pm
Defense Motions to Dismiss Class Action Granted because Allegations in Class Action Complaint Failed to Meet Rule 9(b)’s Requirements for Pleading Fraud with Specificity and because Class Action’s Allegations Failed under Rule 12(b)(6) New York Federal Court Holds Plaintiffs filed a putative class action against Merrill Lynch entities, Morgan Stanley entities, Citigroup entities, Charles Schwab entities and Wachovia entities, alleging inter alia violations of the Investment… [read post]
14 Mar 2022, 10:00 pm
This edition of Morgan Lewis Retail Did You Know? [read post]
13 May 2022, 8:59 am
FINRA Fines and Suspends Former Morgan Stanley Rep For Putting Compliance Cart After the Horse (BrokeAndBroker.com Blog)Three Portfolio Managers and Allianz Global Investors U.S. [read post]
8 Mar 2015, 3:31 pm
--(byline Morgan Baskin) [read post]
4 Jul 2022, 7:46 pm
Morgan to Pay $8... [read post]
22 Feb 2022, 4:11 am
Federal Court Puts A Fork In Schottenstein FINRA Arbitration and Says It's Done (Maybe) (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6314/schottenstein-sdfl/The saga of Beverley Schottenstein's lawsuit against JP Morgan Securities and her grandsons Evan and Avi has been widely reported in the press. [read post]
