Posts tagged with: "financial+issue"
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18 Nov 2019, 1:34 pm
If they had, they would have discovered many serious issues with the company, including misstated financials. [read post]
5 Nov 2009, 6:41 am
On November 3, 2009, the Financial Planning Coalition sent a letter to members of the House Financial Services Committee expressing the Coalition's concern regarding an amendment to the Investor Protection Act of 2009 (“IPA”), which was passed by the Committee on October 25, 2009. [read post]
20 Mar 2020, 5:33 pm
Federal government may issue payments of up to $1,200 per person +500 per child. [read post]
31 Oct 2010, 7:38 am
Arizona Republic: “Maricopa County supervisors and budget officials have spent recent months blasting the Sheriff’s Office for massive financial missteps. [read post]
28 Jun 2023, 6:51 am
On 28 June 2023, the European Commission (Commission) issued legislative proposals intended to bring payments and the wider financial sector into the digital age. [read post]
15 Nov 2016, 3:32 pm
Our firm is investigating claims made by The Financial Industry Regulatory Authority (FINRA) against broker Michael Barranco (Barranco). [read post]
9 Jul 2020, 12:56 pm
Schwinn, UIC Law School The Supreme Court ruled today that while Congress has authority to issue subpoenas for the President's personal financial records, courts that judge those subpoenas must take more careful account of the separation-of-powers considerations at... [read post]
30 Dec 2016, 8:50 am
Not every issue is a crisis, but there are a few. [read post]
4 Apr 2019, 10:43 am
On April 2, 2019, the FDIC issued Financial Institution Letter FIL-19-2019 (the “Letter”) to remind financial institutions about certain contractual provisions and other requirements pertaining to technology service provider contracts. [read post]
20 May 2011, 6:15 am
, regulators and prosecutors haven’t pointed too many fingers at Goldman Sachs, post financial-crisis (at least not publicly). [read post]
2 Nov 2010, 2:57 pm
American University Law Review invites submissions for its spring symposium, Is Financial Reform Too Big to Fail? [read post]
28 Mar 2022, 12:31 pm
By John Filar AtwoodIn more than 240 conversations with audit committee chairs in 2021, the PCAOB discovered that outside of financial statement issues, audit committees view ESG issues as a hot topic and indicated that it is an area where companies are feeling pressure from investors. [read post]
24 Feb 2012, 6:46 am
The Financial Industry Regulatory Authority ("FINRA") issued an Investor Alert reminding investors to carefully review their account statements and trade confirmations for potential red flags. [read post]
11 Dec 2020, 11:16 am
FINRA Sanctions Infinity Financial Services for Supervisory Issues According to a Letter of Acceptance Waiver and Consent (AWC) signed December 8, The Financial Industry Regulatory Authority (FINRA) has censured and fined Infinity Financial Services (CRD No. 144302) after it allegedly failed to investigate its new hires’ backgrounds. [read post]
4 Feb 2009, 7:44 am
I will then draw out some issues and possible implications relating to the future shape and size of the banking and credit mediation markets. [read post]
31 May 2020, 3:34 pm
The latest issue of the Review of International Political Economy (Vol. 27, no. 3, 2020) is out. [read post]
14 Feb 2014, 4:39 pm
FinCEN (the Financial Crimes Enforcement Network) and Department of Justice today issued new guidelines and a memo for banks doing business with marijuana businesses. [read post]
12 Apr 2021, 8:26 am
The SEC has charged GPB Capital, Ascendant Capital, and Ascendant Alternative Strategies with running a Ponzi-like scheme that raised roughly $1.8 billion from securities issued by GPB Capital. [read post]
7 Oct 2008, 7:58 am
Just what it means for trade secrets and the issues covered on this blog is anyone's guess at this point.Nevertheless, for your edification, we are linking to a piece prepared by one of our colleagues concerning "What Banks, Financial Institutions, Investors And Service Providers Need To Know About The Emergency Economic Stabilization Provisions of H.R. 1445. [read post]
9 Nov 2015, 6:13 am
Financial Decisions: The Heart and Soul of Law Firms is the title of my Practice Management Advice column in this issue. [read post]
