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13 May 2016, 6:13 am
Securities and Exchange Commission, on Monday, May 9, 2016 Tags: Capital formation, Confidentiality, Disclosure, Firm performance, Information asymmetries, Information environment,Investor protection, IPOs, Market reaction, Public firms, Regulation D, SEC, Securities regulation, Signaling, Underpricing Corporate Governance in an Era of Compliance Posted by Sean J. [read post]
10 May 2021, 5:10 pm
On May 10, 2021, the Securities and Exchange Commission (“SEC”) announced an award of approximately $22 million to two whistleblowers whose information and assistance aided the SEC that resulted in successful SEC enforcement actions brought against a financial services firm. [read post]
26 May 2015, 9:05 pm
“Louisiana AG hires nine private law firms, 17 attorneys for federal antitrust pharmaceutical lawsuit” [Legal NewsLine] National Association of Insurance Commissioners has, and exploits, legally privileged status as collector of insurance data. [read post]
13 Aug 2016, 8:22 pm
Although I may not take the manager up on her offer, the refund was a nice touch. [read post]
9 Aug 2021, 10:14 am
Woodpecker, legal document automation for solo and small firms. [read post]
30 Nov 2023, 5:43 am
Higher Billing Rates, More Tech What changes have small firms made during this period that may have driven these changing perceptions? [read post]
30 Apr 2018, 4:43 am
I am pleased to continue to chair this program alongside Robert Greene Sterne of the Sterne Kessler firm. [read post]
5 Feb 2010, 6:02 am
This suggests that corporate taxes may be a more efficient way to generate revenue than dividend taxes. [read post]
1 Jun 2010, 11:55 am
While one recent survey says that “reducing spending (with outside law firms) is a top priority for corporate legal departments”, another says that regional firms may be in position to gain more work over BigLaw. [read post]
20 Apr 2012, 5:51 am
The source may... [read post]
3 Sep 2020, 9:21 am
My question was how did the firm generate its work over the years, it’s a good firm. [read post]
8 Jul 2024, 4:54 am
But that overview lends a fine opportunity to offer some general guidance that may prevent a bad breakup from getting worse: Have it in writing. [read post]
13 Dec 2016, 6:23 am
Your team may need a gentle reminder every now and then. [read post]
22 May 2017, 7:39 pm
Scroggins Seyfarth Synopsis: In a case filed May 8 in federal court in New Jersey, the EEOC sued an IT staffing firm for age discrimination on behalf of a candidate seeking placement into an position with one of the firm’s clients. [read post]
20 Jun 2023, 7:26 am
The post FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2023 appeared first on Securities Arbitration Lawyers Blog. [read post]
7 Jun 2024, 7:05 am
According to FINRA Disciplinary actions for May 2024, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Kwame Aduesi Morgan Stanley J.P. [read post]
1 Jun 2022, 9:16 am
The post FINRA Bars Stockbrokers For Failing To Provide FINRA With Information May 2022 appeared first on Securities Arbitration Lawyers Blog. [read post]
28 May 2021, 1:17 pm
According to FINRA Disciplinary actions for May 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Ryan Callahan State Farm VP Management Corp. [read post]
23 Jul 2013, 4:25 pm
I may post next week. [read post]
1 Jul 2013, 7:33 am
You may want to talk with your attorney about succession planning. [read post]
