Search for: "Allison v. Lee"
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15 Sep 2020, 9:19 am
Discovery Misconduct by FINRA Enforcement Prompts Tepid Response from Regulator (BrokeAndBroker.com Blog)SEC Brings Charges Against Clean Water Project Founder for Defrauding Investors (SEC Release)Diversity Matters, Disclosure Works, and the SEC Can Do More: Remarks at the Council of Institutional Investors Fall 2020 Conference (Speech by SEC Commissioner Allison Herren Lee)FINRA Arbitrator Recommends Expungement of Customer Complaint Prompted by Family DisputeIn the Matter… [read post]
23 Apr 2007, 10:14 pm
Lee mentions:The court should also take advantage of Microsoft v. [read post]
30 Jan 2024, 11:11 am
From Park v. [read post]
5 Feb 2021, 10:33 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5687/securities-industry-commentator/SEC Suspends Trading in Inactive Issuer Touted on Social Media (SEC Release)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Amazon seller blasts the company's forced arbitration policy in congressional hearing on antitrust (CNBC by Lauren Feiner and Annie… [read post]
12 Feb 2021, 11:24 am
OFS Securities, Inc. and Oriental Financial Services Corp., Respondents (FINRA Arbitration Award)FINRA Fines and Suspends CCO / AMLCO For Structuring (BrokeAndBroker.com Blog)Statement of Acting Chair Allison Herren Lee on Contingent Settlement Offers (SEC Release)Statement of Commissioners Hester M. [read post]
29 Jun 2023, 10:26 am
According to Allison Herren Lee, former Commissioner of the U.S. [read post]
2 Mar 2021, 6:04 am
Silk, Sabastian V. [read post]
5 May 2011, 6:51 am
And the corset narrated gender by calling into question the divide between public and private in Egbert v. [read post]
8 Oct 2021, 6:02 am
Posted by Brian V. [read post]
7 Jul 2011, 1:14 pm
Corns v. [read post]
31 Mar 2021, 3:02 am
Only a couple of weeks ago, Acting SEC Chair Allison Herren Lee gave a speech and issued a corresponding request for public comment on 15 aspects of climate change disclosure. [read post]
8 Dec 2023, 9:30 pm
Lee Wilson leads the new “legal history emphasis area” in the Department of History and Geography’s at Clemson University (Clemson News).Here is the historians' amicus brief in the free speech case, Moody v. [read post]
16 Apr 2007, 7:59 am
Knowing that I was headed back to the dome for game 3 of the Yanks v. [read post]
17 Nov 2023, 6:30 am
Marks, and Allison Sloto, Milbank LLP, on Friday, November 10, 2023 Tags: CARB, Climate Disclosure, SB253, SEC SEC Adopts Short Sale Disclosure Rules Posted by Brian V. [read post]
17 Nov 2023, 6:30 am
Marks, and Allison Sloto, Milbank LLP, on Friday, November 10, 2023 Tags: CARB, Climate Disclosure, SB253, SEC SEC Adopts Short Sale Disclosure Rules Posted by Brian V. [read post]
22 Nov 2019, 10:32 am
Allison & Mark A. [read post]
25 Feb 2020, 4:02 am
Allison Franz and Zora Franicevic have a preview for Cornell Law School’s Legal Information Institute. [read post]
28 Jan 2021, 3:10 am
I was hoping to punt coverage of the amateur trading insanity to John’s blog rotation next week, but it seems notable that the SEC’s Acting Chair Allison Herren Lee – along with Pete Driscoll, Director of the Division of Examinations, and Christian Sabella, Acting Director of the Division of Trading and Markets – issued this joint statement yesterday to say they’re on the case. [read post]
29 Jun 2023, 6:30 am
Posted by Allison Herren Lee, Kohn, Kohn & Colapinto LLP, on Thursday, June 29, 2023 Editor's Note: Allison Herren Lee is Of Counsel at Kohn, Kohn & Colapinto LLP. [read post]
29 Jun 2023, 6:30 am
Posted by Allison Herren Lee, Kohn, Kohn & Colapinto LLP, on Thursday, June 29, 2023 Editor's Note: Allison Herren Lee is Of Counsel at Kohn, Kohn & Colapinto LLP. [read post]
