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17 Apr 2023, 1:56 pm by Kevin LaCroix
” The complaint as amended also contained unrelated allegations concerning alleged problems Okta encountered in connection with its acquisition of AuthO, Inc. [read post]
17 Apr 2023, 7:03 am by The White Law Group
This rule requires broker-dealer firms to establish and maintain a system to supervise the activities of their associated persons (e.g., brokers) to ensure that they comply with securities laws and regulations. [read post]
13 Apr 2023, 8:03 am by The White Law Group
Riley Wealth Management unsuitably invested its clients in the following high-risk, alternative investments: Healthcare Trust, ARC Trust V, Inc., First Capital Real Estate Trust, Inc., Hospitality Investors Trust, ARC Retail Center of America, Inc., ARC Global Trust, Inc., ARC New York City REIT, KBS Real Estate Investment Trust III, Inc. and American Finance Trust, Inc. [read post]
11 Apr 2023, 11:53 am by The White Law Group
The firm also failed to supervise one of its brokers in connection with an offering of Platinum Wealth Partners, Inc. [read post]
10 Apr 2023, 9:01 pm by renholding
 For example, Enforcement brought charges regarding control violations against GE (see this PubCo post), HP, Inc. [read post]
10 Apr 2023, 7:38 am by Eugene Volokh
If people want to rob you, they're not willing to comply with a law against robbery, so they're probably not willing to comply with a law against gun possession in public, either. [read post]