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8 May 2024, 7:20 pm
Poor Reporting Practices November 2016 – FINRA sanctioned Oppenheimer & Co., Inc. [read post]
29 Apr 2024, 10:00 pm
The tool covers licensing and capital requirements, conditions to doing business in the state, AML/CFT guidelines, recordkeeping, supervision, and enforcement authority, for banking and non-banking institutions. [read post]
22 Apr 2024, 9:34 am
In 2007, the Overseas Shipholding Group Inc (OSG) case illustrated the significance of whistleblowers disclosing high seas crimes that lead to successful prosecution. [read post]
19 Apr 2024, 9:27 am
Ripple Labs Inc. [read post]
28 Feb 2024, 2:00 pm
Kirby Inland Marine Inc. (5th Cir. 2007) 482 F.3d 347, 351.) [read post]
1 Dec 2023, 10:14 am
Introduction In recent years, states across the U.S. have threatened to cut ties with banks and asset managers that incorporate Environmental, Social, and Governance (ESG) screening into their accounting, or otherwise screen for climate risk. [read post]
13 Nov 2023, 9:51 am
” See In the Matter of Coinbase, Inc. [read post]
18 Oct 2023, 9:01 pm
Like the SEC’s prior action against BNY Mellon Investment Adviser Inc. [read post]
25 Sep 2023, 2:26 pm
Securities and Exchange Commission (SEC) announced settled charges against the registered investment adviser DWS Investment Management Americas Inc. [read post]
25 Sep 2023, 12:27 pm
AML programs can impact investors’ trust and decision-making. [read post]
20 Sep 2023, 9:24 am
Andy Warhol Found. for the Visual Arts, Inc, where the board of the Andy Warhol Foundation was sued because of the authentication done by a branch of the organization.[20] The foundation spent $7 million on the litigation, followed by further litigation with the foundation’s insurance company.[21] Following this lawsuit, a variety of artist foundation boards ceased authentication altogether to avoid litigation.[22] There is a risk of litigation when the basis of a sale is based on… [read post]
19 Sep 2023, 2:24 pm
Andy Warhol Found. for the Visual Arts, Inc, where the board of the Andy Warhol Foundation was sued because of the authentication done by a branch of the organization.[20] The foundation spent $7 million on the litigation, followed by further litigation with the foundation’s insurance company.[21] Following this lawsuit, a variety of artist foundation boards ceased authentication altogether to avoid litigation.[22] There is a risk of litigation when the basis of a sale is based on… [read post]
29 Aug 2023, 12:32 pm
Hilltop Holdings, Inc. completed its acquisition of SWS Group, Inc. in 2015. [read post]
10 Aug 2023, 7:41 am
In PACCAR Inc & Ors v Competition Appeal Tribunal & Ors, four out of five justices ruled that such agreements fall within the statutory definition of damages-based agreements (DBAs). [read post]
20 Jul 2023, 10:44 am
On June 6, 2023, the SEC charged Coinbase, Inc. and Coinbase Global, Inc. [read post]
23 Mar 2023, 6:23 am
The decision from In re SunEdison, Inc. demonstrates that the LPAC’s role in approving conflicted transactions remains a case-by-case, contract specific analysis. [read post]
15 Dec 2022, 8:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
15 Dec 2022, 4:00 am
District Court for the District of New Hampshire granted the SEC’s motion for summary judgment against LBRY, Inc., holding that LBRY offered a crypto asset in violation of the registration provisions of federal securities laws. [read post]
10 Oct 2022, 1:07 pm
From May 2012 until October 2018 Badii was registered with UBS Financial Services, Inc. [read post]
3 Oct 2022, 12:04 pm
In “Cheng’s Proposed Consensus Rule for Expert Witnesses,”[1] I discussed a recent law review article by Professor Edward K. [read post]
