Search for: "Washington Mutual Brokerage Holdings, Inc."
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6 May 2007, 7:21 pm
If you're going to be transferring assets such as stocks, bonds, or mutual funds to your ex, here's a piece of good news: you won't have to pay a capital gains tax if their value has appreciated (and let's hope it has!) [read post]
22 Feb 2016, 4:36 pm
Holding “control persons” jointly and severally liable aides in an investor’s ability to recoup losses after a defendant’s insolvency. ■ Section 17(a) provides for liability for fraudulent sales of securities.3 Following in the wake of the 1933 Act, Congress passed the Securities Exchange Act of 1934 with the purpose of regulating sales that take place in the secondary market. [read post]
13 Jan 2016, 5:05 pm
(Please see the item following the guest post and related footnotes, below, regarding the upcoming March 2016 Cybersecurity Docket Incident Response Forum to be held in Washington, D.C.) [read post]
16 Jun 2016, 2:48 pm
John Reed Stark As I noted in a recent post, on June 8, 2016, the SEC, in what one commentator called “the most significant SEC cybersecurity-related action to date,” announced that Morgan Stanley Smith Barney LLC had agreed to pay a $1 million penalty to settle charges that as a result of its alleged failure to adopt written policies and procedures reasonably designed to protect customer data, some customer information was hacked and offered for sale online. [read post]
