Search for: "Jason Morgan"
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15 Jul 2021, 9:03 pm
WHAT WE’RE READING THIS WEEK In an article in the Journal of the American Medical Association Pediatrics, Larissa Morgan, former editor-in-chief of The Regulatory Review, Jason L. [read post]
28 May 2021, 7:21 am
According to FINRA Disciplinary actions for March 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Jason Allen Wells Fargo Clearing Services, LLC Morgan Stanley Carl Birkelbach Birkelbach Investment Securities, Inc. [read post]
7 May 2021, 5:55 am
The Case of ESG Ratings Posted by Dane Christensen (University of Oregon), George Serafeim (Harvard Business School), and Anywhere Sikochi (Harvard Business School), on Wednesday, May 5, 2021 Tags: Disclosure, Environmental disclosure, ESG, International governance, Performance measures, Ratings agencies, Sustainability The SEC’s Latest Risk Alert Puts ESG Investing in the Crosshairs Posted by Jason M. [read post]
29 Mar 2021, 6:30 pm
(Morgan.2011.AIAAmbiguities) Joshua D. [read post]
19 Mar 2021, 6:08 am
Securities and Exchange Commission, on Saturday, March 13, 2021 Tags: Climate change, Disclosure, Environmental disclosure, ESG, SEC, SEC rulemaking, Securities regulation, Sustainability Limiting SPAC-Related Litigation Risk: Disclosure and Process Considerations Posted by Caroline Bullerjahn and Morgan Mordecai, Goodwin Procter LLP, on Sunday, March 14, 2021 Tags: Capital formation, Disclosure, Equity… [read post]
21 Aug 2020, 3:00 am
National/Federal Biden Aides Headline DNC Fundraisers with Lobbyists Politico – Theodoric Meyer | Published: 8/13/2020 When Barack Obama won the Democratic presidential nomination in 2008, he barred the Democratic National Committee (DNC) from accepting contributions from lobbyists in an attempt to purge their influence from his future administration. [read post]
11 Jun 2020, 7:25 am
(“Burnham”) based in New York, New York, and his son, Jason Galanis, to serve as the Placement Agent in the WLCC Bond offerings. [read post]
20 May 2020, 2:25 pm
Figueroa, Mark Spartan Capital Securities, LLC Arive Capital Markets Freeman, Michael Spartan Capital Securities Legend Securities, Inc Kopatz, Karen Raymond James & Associates, Inc Morgan Keegan & Company, Inc Morgan, Gregory Allstate Financial Services, LLC ProEquities, Inc Rayner, Wesley Santander Securities LLC JP Morgan Securities Rodriquez, Jordan… [read post]
15 May 2020, 6:26 am
Jason H. [read post]
8 May 2020, 9:47 am
Christian Evans Morgan Stanley Highland Capital Funds Distributor, Inc. [read post]
17 Apr 2020, 5:55 am
., on Saturday, April 11, 2020 Tags: Boards of Directors, COVID-19, Institutional Investors, Mergers & acquisitions, Poison pills, Proxy advisors, Shareholder activism, Shareholder voting, Takeover defenses Government Ownership in the Post Virus World Posted by Alissa Kole Amico, GOVERN, on Sunday, April 12, 2020 Tags: China, COVID-19, EU, Europe, Institutional Investors, International… [read post]
6 Mar 2020, 1:30 am
Not Enough Bull In Stairway to Heaven (BrokeAndBroker.com Blog)SEC employee tested for coronavirus, forcing all DC headquarters staff to telework (Federal News Network by Jason Miller)Federal Court Issues Order in Morgan Stanley Work-Related Expenses Class Action Settlement. [read post]
13 Jan 2020, 8:32 am
The motion argues that the testimony of alleged co-conspirators Christopher Cummins of Citigroup and Jason Katz of Barclays was unreliable and false, and should not serve as a valid basis for the conviction. [read post]
10 Jan 2020, 1:41 am
In the Matter of Jason C. [read post]
3 Jan 2020, 4:27 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5000/securities-industry-commentator/Dismissed FINRA Arbitration Against JP Morgan Involves Horrific Backstory (BrokeAndBroker.com Blog)Co-Founder Of Investment Fund Pleads Guilty To Conspiracy, Securities Fraud, Wire Fraud, And Investment Adviser Fraud Charges / Jason Rhodes Pleads Guilty to Participating in Multimillion-Dollar Fraud… [read post]
3 Dec 2019, 3:00 am
Campaign Finance Georgia: “Abrams Campaign Seeks Dismissal of Request for Additional Documents in Ethics Probe” by Stephen Fowler for Georgia Public Broadcasting New Mexico: “Regulators Late on Campaign Finance Checks” by Morgan Lee (Associated Press) for Albuquerque Journal Elections Pennsylvania: “A Pennsylvania County’s Election Day Nightmare Underscores Voting Machine Concerns” by Nick Corasaniti (New York Times) for MSN Ethics National:… [read post]
11 Sep 2019, 4:00 am
Morgan v Bevin (2018). [read post]
2 Aug 2019, 3:00 am
National/Federal Ex-McConnell Staffers Lobbied on Russian-Backed Kentucky Project Politico – Natasha Bertrand and Theodoric Meyer | Published: 7/31/2019 Two former top staffers to Senate Majority Leader Mitch McConnell have lobbied Congress and the Treasury Department on the development of a new Kentucky aluminum mill backed by the Russian aluminum giant Rusal, according to a new lobbying disclosure. [read post]
16 Jul 2019, 12:03 pm
Roderic Broadhurst, Anthony Morgan, Jason Payne and Ross Maller (Australian National University (ANU), Australian Institute of Criminology, Australian National University (ANU) and Australian National University (ANU) - School of Finance and Applied Statistics) have posted Restorative Justice: An Observational Outcome... [read post]
1 Jul 2019, 12:40 pm
Morgan Securities LLC AXA Advisors, LLC Maurer, William Voya Financial Partners, LLC Nye, Jason The O.N. [read post]
