Search for: "Working Group on Securities Disclosure Authority"
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22 Mar 2024, 9:07 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
6 Jul 2017, 12:02 pm
The SEC staff states that Henn, who has worked at Barclays since 2008, and Alfaro, who worked at First Bank Puerto Rico Securities before moving to Barclays in 2013, allegedly violated securities and municipal bond rules on fraud, deception and misrepresentation during the sale of Puerto Rico bonds. [read post]
12 Mar 2018, 12:42 am
I welcome guest post submissions from responsible authors on topics of interest to this blog’s readers. [read post]
9 Jun 2014, 6:50 am
However, it is sometimes possible to use disclosure as a means of provoking global discussion of issues and to induce states to reconsider the value of their internal positions, just as the process works for disciplining corporate behaviors (Larry Catá Backer, From Moral Obligation to International Law: Disclosure Systems, Markets and the Regulation of Multinational Corporations, 39 Georgetown Journal of Internatio [read post]
24 Feb 2023, 12:58 pm
Organizations and their leaders risk, federal criminal liability from violations of an ever-growing multitude of federal tax, securities, cyber liability, labor and employment, safety, environmental and other laws. [read post]
29 Apr 2021, 5:01 am
” This study significantly addresses the security implications of data brokers—a break from the norm, given that most of the focus on data brokers to date has been on the commercial uses of available data, typically with regard to marketing or targeted advertising, rather than the availability and potential use by security or intelligence services, especially U.S. adversaries or malign groups. [read post]
21 Mar 2024, 8:17 am
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Seattle, Washington. [read post]
30 Jul 2020, 7:04 am
The attorneys at Cosgrove Law Group, LLC have decades of experience interpreting securities regulations, auditing firm compliance, and responding to regulatory investigations. [read post]
24 Feb 2021, 8:23 am
Does the NCD have the authorities and powers necessary to be effective in the role? [read post]
2 Aug 2021, 10:37 am
When brokers abuse client accounts or conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
22 Nov 2013, 10:13 am
A graphic timeline illustrates work history and marks disclosure events, such as customer complaints, suspensions, and disciplinary actions. [read post]
11 Sep 2012, 1:36 am
Rick is a Member of the Cozen O’Connor law firm and he is also the co-author of the CyberInquirer blog. [read post]
13 Mar 2023, 11:19 am
The findings also stated that Hobbs participated in numerous private securities transactions without prior written disclosure to, or approval from, his firm. [read post]
20 Jan 2022, 12:16 pm
For example, in In re: Tal Education Group Securities Litigation, the U.S. [read post]
12 Oct 2017, 12:30 pm
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida. [read post]
1 Dec 2020, 11:11 am
The White Law Group is a national securities arbitration, securities fraud, and investor protection law firm with offices in Chicago, Illinois. [read post]
30 Aug 2022, 10:37 am
Our Digital Risk Advisory and Cybersecurity team has shared insights from attorneys across the firm’s Digital Assets and Data Management Practice Group who work with clients on complex privacy and data protection matters. [read post]
12 Oct 2020, 1:06 pm
Scott Silver, managing partner of Silver Law Group, is the chairman of the Securities and Financial Fraud Group of the American Association of Justice and represents investors nationwide in securities investment fraud cases. [read post]
7 Feb 2017, 7:38 am
When brokers abuse client accounts and conduct transactions that violate securities laws, the brokerage firm they are working with may be liable for investment losses. [read post]
