Search for: "In the Matter of Frank"
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12 Nov 2011, 2:00 am
Nassim Taleb, the author of the book on long-tail events, suggests in a Nov. 6, 2011 op-ed in the New York Times that "it is only a matter of time before private risktaking leads to another giant bailout like the ones the United States was forced to provide in 2008. [read post]
14 Oct 2019, 6:30 am
(Franks at 89). [read post]
17 Mar 2011, 8:02 am
In the Panalpina Matters, DOJ made a conscious effort to show that they had given consideration to self-disclosure and rewarded cooperating companies by not imposing a corporate monitor. [read post]
12 Oct 2010, 9:00 am
The legislation creates a framework to resolve any financial institution, no matter how large or complex. [read post]
14 Jan 2011, 2:59 pm
Tucked within the broad package of financial industry reforms contained in the Dodd-Frank Act is a provision mandating that each of over a dozen covered federal financial agencies establish, including the SEC and the FDIC, no later than six months after the law's enactment, an Office of Minority and Women Inclusion (OMWI) to "be responsible for all agency matters relating to diversity in management, employment and business activities. [read post]
20 Apr 2015, 10:00 am
For more information on the matter or to obtain a copy of the SEC settlement order, please visit the SEC’s website here. [read post]
3 Aug 2018, 6:49 am
The securities attorneys at Gana Weinstein LLP are currently investigating former International Assets Advisory, LLC (International Assets) broker Frank Cuenca. [read post]
8 Jun 2017, 3:00 am
Much of the SEC’s work on insider trading matters occurs within the Enforcement Division’s Market Abuse Unit, which proactively launches its own investigations through data mining and advanced detection. [read post]
24 Jan 2018, 8:41 am
The Seventh Circuit determined it did not have to await the Supreme Court’s decision, because Verfuerth’s Dodd-Frank claim was “entirely derivative” of his SOX claim, and Verfuerth’s SOX claim failed as a matter of law. [read post]
19 Aug 2010, 7:59 am
On the other hand, it’s not clear to me how the insertion of rhetoric at this stage of proceedings against the government could assist matters. [read post]
22 Jul 2011, 3:13 pm
Related Posts: Dodd-Frank By The Numbers: A Volcker Rule Case Study Dodd-Frank By The Numbers: The Volcker Public Comments Dodd-Frank By The Numbers: Screwing Joe The “Plummer” Dodd-Frank By The Numbers: The Volcker Meeting Logs [read post]
19 Jan 2011, 4:16 pm
SEC Open Meeting - January 25, 2011 The subject matter of the Open Meeting will be: The Commission will consider whether to adopt rules to implement Section 951 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, which requires... [read post]
12 May 2010, 12:49 pm
The Montana Supreme Court has issued an Opinion in the following matter: DA 09-0166, 2010 MT 108, FRANK LEROY ROBINSON, Petitioner and Appellant, v. [read post]
25 Aug 2010, 8:08 am
FRANK JOACHIM KNOWLES, Defendant and Appellant. [read post]
29 May 2009, 5:05 am
What can we say about Judge Sotomayor's approach to environmental matters? [read post]
17 Mar 2010, 7:57 am
The Montana Supreme Court has issued an Opinion in the following matter: DA 09-0166, 2010 MT 51, FRANK LEROY ROBINSON, Petitioner and Appellant, v. [read post]
8 Oct 2011, 7:07 am
The subject matter of the Open Meeting will be: Item 1: The Commission will consider whether to propose a new rule under Section 619 of the Dodd-Frank Wall Street... [read post]
2 May 2016, 7:51 am
In this attorney disciplinary matter, the Court considers the appropriate level of discipline for respondent Frank J. [read post]
23 Jun 2011, 3:16 pm
The subject matter of the Open Meeting will be: The Commission will consider whether to propose rules under Title VII of the Dodd-Frank Wall Street Reform and Consumer... [read post]
6 Oct 2010, 3:36 pm
SEC Open Meeting - October 13, 2010 The subject matter of the Open Meeting will be: The Commission will consider whether to adopt an interim final temporary rule under Section 766 of the Dodd-Frank Wall Street Reform and Consumer Protection... [read post]
