Search for: "E*Trade Financial Corporation"
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21 Sep 2016, 2:25 pm
These include software licensing, cloud computing, e-commerce, data processing and outsourcing agreements for the hospitality industry. [read post]
2 Sep 2016, 6:06 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, September 2, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of August 26–September 1, 2016. [read post]
21 Aug 2016, 12:41 pm
., corporate lawyers looking at difference between conventional corporations and corporate finance versus decentralized autonomous organizations (DAOs)). [read post]
9 Aug 2016, 2:30 pm
(A&P’s full trade name) v. [read post]
5 Aug 2016, 6:27 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, August 5, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of July 29–August 4, 2016. [read post]
3 Aug 2016, 7:57 am
These include the scope of the violation, any prior violations and financial benefits. [read post]
28 Jul 2016, 2:30 pm
Employers, insurers and other health plan sponsors or issuers (health plans), health care providers, healthcare clearinghouses (covered entities) and their business associates should reevaluate the adequacy of their practices and procedures for the protection of electronic protected health information (ePHI) on or accessible through laptops or other mobile devices in light of the $2.75 million penalty and other schooling the Department of Health and Human Services Office for Civil Rights (OCR) just… [read post]
7 Jul 2016, 6:30 am
Ringler President and CEO Geoffrey E. [read post]
1 Jul 2016, 1:49 pm
Secretary of Labor Thomas E. [read post]
1 Jul 2016, 12:23 pm
Well known for her extensive work with health care, insurance and other highly regulated entities on corporate compliance, internal controls and risk management, her clients range from highly regulated entities like employers, contractors and their employee benefit plans, their sponsors, management, administrators, insurers, fiduciaries and advisors, technology and data service providers, health care, managed care and insurance, financial services, government contractors and… [read post]
28 Jun 2016, 6:41 am
Momenta Pharmaceuticals, Inc., et al., No. 15-1402 (scope of 271(e) safe harbor) Exhaustion: Impression Products, Inc. v. [read post]
24 Jun 2016, 6:31 am
Posted by HLS Forum on Corporate Governance and Financial Regulation, on Friday, June 24, 2016 Editor's Note: This roundup contains a collection of the posts published on the Forum during the week of June 17–June 23, 2016. [read post]
23 Jun 2016, 10:21 am
A $180,000 wrongful termination settlement that Foothill Packing, Inc. just paid to settle Department of Labor charges illustrates the potential Catch-22 tightrope that employers must walk when choosing between citizens and resident aliens with visas for hiring and firing decisions. [read post]
Merrill Lynch to Pay $415 Million for Misusing Customer Cash and Putting Customer Securities at Risk
23 Jun 2016, 7:15 am
Its subsidiary Merrill Lynch Professional Clearing Corporation is charged with violating Sections 15(c)(3) and 17(a)(1) and Rules 15c3-3, 17a-3(a)(10) and 17a-5(a). [read post]
16 Jun 2016, 2:48 pm
Strong corporate leaders, like those who populate the c-suite at Morgan Stanley, seek answers from independent and neutral sources of information. [read post]
16 Jun 2016, 10:08 am
The SEC appreciates the assistance of the Financial Industry Regulatory Authority. [read post]
8 Jun 2016, 2:49 pm
Newman the Second Circuit similarly admonished the government’s “insider trading prosecutions . . . targeted at remote tippees many levels removed from corporate insiders,” rejecting the government’s theory as a “doctrinal novelty. [read post]
3 Jun 2016, 7:32 am
Charges against current and former brokerage subsidiaries of E*TRADE Financial Corporation that failed in their gatekeeper roles and improperly engaged in unregistered sales of microcap stocks on behalf of their customers. [read post]
2 Jun 2016, 3:18 pm
Ditto Holdings, Inc. is a private shareholder-owned corporation whose sole subsidiary is Ditto Trade Inc., an online retail stock trading company. [read post]
2 Jun 2016, 3:18 pm
Ditto Holdings, Inc. is a private shareholder-owned corporation whose sole subsidiary is Ditto Trade Inc., an online retail stock trading company. [read post]
