Search for: "John Brick"
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4 Aug 2016, 6:00 am
[More…] John Hancock and Cultural Transformation by Tom Fox in the FCPA Compliance & Ethics Report As a CCO or compliance practitioner, you need to be seen as leading this type of behavior. [read post]
3 May 2013, 9:00 am
Daniel Parrilli, 62, John Lauer, 48, and Christopher Anderson, 57, received 70-month, 31-month, and 95-month prison sentences, respectively, after previously pleading guilty to fraud charges. [read post]
20 Jan 2017, 5:00 am
Court of Appeals for the Sixth Circuit ruled unanimously against John Verble, a former Morgan Stanley Smith Barney financial adviser who claims he was fired in 2013 for cooperating with the FBI in an investigation. [read post]
1 Nov 2023, 11:10 am
“Schools in areas like Toms River and Brick have experienced critical funding cuts over the last few years. [read post]
26 May 2022, 4:14 am
Text Copyright John L. [read post]
30 Mar 2018, 2:58 am
Text Copyright John L. [read post]
18 Jan 2017, 3:21 am
Text Copyright John L. [read post]
8 Feb 2022, 8:00 pm
Crosby often had his good friend, John F. [read post]
9 Nov 2018, 7:00 am
by Jeff Kaplan in Conflict of Interest Blog In a paper recently published by Boston University School of Law – The Law Office (LO) and Compliance Officer (CO): Status, Function, Liabilities, and Relationship – Emerita Professor Tamar Frankel of that school quotes a former SEC official (John Walsh, then Chief Counsel, Office of Compliance Inspections and Examinations) as noting the following: [C]ompliance officers have the characteristics of entrepreneurs. [read post]
11 Aug 2017, 6:00 am
[More…] Delaware entices corporations with blockchain law by Anne Sherry, J.D. in Jim Hamilton’s World of Securities Regulation In an effort to continue to attract corporations to the state and curb costly recordkeeping errors, Delaware governor John Carney signed a law to allow corporations in the state to keep records, including the stock ledger, in distributed ledgers, or blockchain. [read post]
2 Oct 2015, 5:00 am
”[More…] The Volcker Rule as Structural Law by John C. [read post]
29 Sep 2017, 6:00 am
[More…] SEC Data Breach: Not Insider Trading, and Not Necessarily Subject to SEC Jurisdiction by John Reed Stark In other words, with cyber thieves who trade on information stolen during a data breach, the SEC is extending unlawful insider trading to a third and new category of securities miscreant — “outsiders” — who do not work for (or with) the company, and who do not owe a duty to anyone. [read post]
13 Oct 2017, 6:00 am
by John Amorosi, Ron Cami, and Louis Goldberg, Davis Polk & Wardwell LLP, in Harvard Law School Forum on Corporate Governance and Financial Regulation Two weeks ago [on September 11, 2017], the Wall Street Journal reported on the intense interest in purchases of stakes in private equity managers. [read post]
15 Jun 2018, 6:00 am
[More…] Why Law Firms Should Never Accept Their Fees in Cryptocurrency by John Reed Stark But having said all of the above, the risks for a law firm that accepts cryptocurrency run a perilous gamut of legal, regulatory, financial, ethical and reputational dangers. [read post]
11 Aug 2017, 6:00 am
[More…] Delaware entices corporations with blockchain law by Anne Sherry, J.D. in Jim Hamilton’s World of Securities Regulation In an effort to continue to attract corporations to the state and curb costly recordkeeping errors, Delaware governor John Carney signed a law to allow corporations in the state to keep records, including the stock ledger, in distributed ledgers, or blockchain. [read post]
8 Nov 2019, 12:00 am
https://corpgov.law.harvard.edu/2019/11/05/the-basis-for-iss-lawsuit-against-the-sec/ Kokesh Redux: SCOTUS to Hear Challenge to SEC Disgorgement Authority by John JenkinsThe CorporateCounsel.net Whether the SEC actually has the ability to seek disgorgement is an issue that the Kokesh Court specifically raised in footnote 3 of Justice Sotomayor’s opinion:“Nothing in this opinion should be interpreted as an opinion on whether courts possess authority to… [read post]
26 Nov 2018, 12:51 pm
After 60 minutes of debate, there seemed to be at least five votes to allow the case to move forward, with only Chief Justice John Roberts appearing to be a clear vote for Apple. [read post]
5 Sep 2012, 3:43 pm
A truck driver trying to merge from U.S. 61 to Missouri 16 rear-ended a horse-drawn buggy sending the buggy's driver, John Yoder, flying off his vehicle. [read post]
14 Aug 2015, 9:15 am
Click here for details, but don't press too hard ...Another Brick in the Wall Paywall. [read post]
