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3 Apr 2023, 12:42 pm
Privacy Policy: By subscribing to Liskow & Lewis’ E-Communications, you will receive articles and blogs with insight and analysis of legal issues that may impact your industry. [read post]
12 Jul 2020, 7:40 am
It is important to understand that under the new system I described, the entire financial and regulatory life of a business in China is done over the Internet. [read post]
23 Oct 2009, 6:11 am
Hunter testified to CFA’s support for a complete repeal of the antitrust exemption afforded the insurance industry“to unleash the Federal Trade Commission (or a new Consumer Financial Protection Agency) to protect insurance consumers. [read post]
15 Oct 2021, 5:42 am
This may arise when many of the companies in the same industry discuss or disclose a particular regulation. [read post]
28 Aug 2024, 5:46 pm
Stamer or her health industry and other experience and involvements, see www.cynthiastamer.com or contact Ms. [read post]
7 Nov 2013, 10:33 am
Perhaps it’s no surprise that this is best illustrated in the car rental industry, where there already exists a financial “pull” and a regulatory “push” towards greener and more sustainable models of service provision. [read post]
4 Dec 2009, 9:06 am
It is also unclear at the moment whether investment advisers will be regulated, as broker dealers are, by the Financial Industry Regulatory Authority. [read post]
5 Jan 2022, 9:29 am
[The exam in my American legal history course consists of two essays, one on the legal history of some regulatory regime my students did not study but which developed much like those they did. [read post]
19 Jul 2017, 11:28 am
Initiated in 2012, Operation Choke Point targeted banks serving online payday lenders and other companies that have raised regulatory or “reputational” concerns. [read post]
31 Aug 2022, 7:08 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), Fahsholtz’s customer complaints alleges that Fahsholtz recommended unsuitable investments in various investments including allegations involving debt-corporate securities, unit investment trusts, and variable annuities, among other allegations of misconduct relating to the handling of their accounts. [read post]
16 May 2012, 6:23 am
These types of acquisitions can result in the departure of jobs and tax revenues, and diminish states’ regulatory control over the newly merged company. [read post]
9 Dec 2021, 9:03 am
The small brokerage firm has now collapsed amid reports of many unpaid Financial Industry Regulatory Authority (FINRA) awards to harmed investors. [read post]
20 Oct 2023, 6:23 am
About the Author Alejandro E. [read post]
22 Oct 2014, 9:58 am
“His work in the banking industry and as a small tax practitioner gives him an exceptional perspective on our tax laws and how they influence individual taxpayers and business decisions, as well as tax practitioners and the CPAs who work in American businesses and the financial services industry. [read post]
21 Jul 2011, 5:58 am
If not independent, then it cannot fulfill its mission, because the fact is that consumers will never...ever...be on equal footing with the financial industry. [read post]
16 Oct 2023, 1:20 pm
The action also underscores the growing regulatory scrutiny of the crypto industry, and the ripple effects of how a violation in one seemingly discrete area of law can lead to multiple enforcement risks and consequences. [read post]
22 Mar 2021, 1:22 am
Leach is currently registered with Morgan Stanley, a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
14 Aug 2018, 9:30 pm
Decrying the perils of big business and financial fraud in the early 1900s, U.S. [read post]
22 Mar 2021, 1:22 am
Leach is currently registered with Morgan Stanley, a Financial Industry Regulatory Authority (FINRA) member firm. [read post]
31 Aug 2020, 7:32 pm
My co-author (and research assistant) Matthew McQuilla and I would welcome any engagement and further conversation around the themes developed. [read post]
