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12 Dec 2023, 3:00 am
Harper & Son, Inc., 160 W. [read post]
8 Dec 2023, 12:30 pm
Years later, Man is sued by the SEC for securities fraud. [read post]
7 Dec 2023, 10:35 am
Rasa’s founder and CEO, Noella Sudbury, was featured on the cover of Utah Business Magazine, and named as one of the 200 most dynamic female founders in Inc. [read post]
5 Dec 2023, 6:00 am
Myers v Academy Securities, Inc. [read post]
1 Dec 2023, 10:14 am
Field preemption in the context of securities regulation is somewhat murky, but certain complex forms of securities enforcement have traditionally been the domain of the SEC and other federal agencies. [read post]
1 Dec 2023, 1:16 am
The broker must gather essential information from the customer to make an appropriate recommendation. [read post]
30 Nov 2023, 9:01 pm
Even had such an argument prevailed, it would have no relevance to the VRA, which is a regulatory statute that was enacted under federal powers other than the Spending Clause; states and localities are bound to comply with the VRA not because they voluntarily agree to.)When invoking a “law” for purposes of Section 1983, a plaintiff need not show she has a private right of action under that law (lest Section 1983 would be essentially redundant), but a plaintiff still does need to… [read post]
30 Nov 2023, 9:55 am
See also: Kovack Securities Inc. [read post]
30 Nov 2023, 12:55 am
Representation in Court: In cases where negotiations fall short, having legal representation becomes essential. [read post]
25 Nov 2023, 12:52 pm
However, it’s essential to remember that while equitable means fair, it does not always mean equal. [read post]
24 Nov 2023, 6:08 pm
From Matthew Wiener: On November 29, 2023, the Supreme Court will hear argument in Securities and Exchange Commission v. [read post]
21 Nov 2023, 1:24 pm
Whether through negotiated agreements or complex litigation, we work tirelessly to secure the best results for our clients. [read post]
20 Nov 2023, 9:01 pm
Madoff Investment Securities LLC (BLMIS) was a Ponzi scheme led to its liquidation under the Securities Investor Protection Act (SIPA).1 A SIPA liquidation is designed to collect “customer property” for ratable distribution among customers based on their “net equity” — investments minus withdrawals (i.e., loss of principal).2 SIPA largely incorporates the Bankruptcy Code and allows the SIPA trustee to recover property transferred by the debtor that… [read post]
14 Nov 2023, 3:18 pm
Mark Zuckerberg getting beat up is probably bad for Meta Platforms Inc. [read post]
13 Nov 2023, 9:05 pm
Assessing Potential Risks The Analytic Framework retains the eight proposed “vulnerabilities that most commonly contribute” to financial stability risks.[24]Relative to the proposal, the Analytic Framework includes additional examples of the types of “quantitative metrics” the Council may consider under certain vulnerabilities: Vulnerability Sample Metrics – Proposal Additional Metrics – Final Leverage… [read post]
12 Nov 2023, 9:01 pm
The increasing trend of regulatory scrutiny over such matters makes it essential for CISOs to adopt a proactive approach to their company’s cybersecurity disclosures. [read post]
9 Nov 2023, 2:56 pm
Through this Delicate deal, Swift was also able to secure streaming rights for the film. [read post]
8 Nov 2023, 6:54 am
Using stable ladders and securing the tree base can help prevent such accidents.Spinal Cord Injuries: Similar to brain injuries, falls can also result in spinal cord damage, potentially leading to long-term disabilities. [read post]
8 Nov 2023, 6:54 am
Using stable ladders and securing the tree base can help prevent such accidents.Spinal Cord Injuries: Similar to brain injuries, falls can also result in spinal cord damage, potentially leading to long-term disabilities. [read post]
7 Nov 2023, 11:13 am
[vi] Further, an SSA’s decision that proposal strengths are essentially equal without qualitatively comparing them is unreasonable. [read post]
