By James Palmer | January 17, 2025
In the enforcement actions announced Friday, the regulator said the two firms agreed to settle the charges without admitting or denying any wrongdoing.
1 minute read
By James Palmer | January 2, 2025
Among the honorees were Don Liu of Target and Sam Khichi of CVS, who immigrated to the United States as children and were determined to make the most of the opportunities their parents provided. As an elementary school student, Khichi worked at his father's dry cleaning store and sold greeting cards door to door.
1 minute read
By Alyssa Aquino | December 10, 2024
The U.S. Securities and Exchange Commission said that Morgan Stanley failed to detect hundreds of unauthorized transfers that occurred between May 2015 and July 2022 and to “reasonably supervise” its employees.
1 minute read
By James Palmer | December 10, 2024
"Audio continues to be an important form of communications, and you have retain and preserve those communications," said James Sherer, a partner at BakerHostetler.
1 minute read
By Chris O'Malley | November 12, 2024
Miller "has served on the front lines of the digital currency revolution, having been an essential and trusted adviser to many builders in the crypto ecosystem," said Ethan Silver, a partner at Lowenstein Sandler.
1 minute read
By Maria Dinzeo | September 5, 2024
The company, which also is facing a U.S. Securities and Exchange Commission inquiry, finds itself in regulators' crosshairs despite legal chief Dan Gallagher's pledge to improve the company's compliance culture and work collaboratively with regulators.
3 minute read
By Maria Dinzeo | July 18, 2024
Julie Glynn is boomeranging back to FINRA, where she spent seven years as an enforcement attorney before joining the banking giant in 2011.
3 minute read
By Chris O'Malley | June 25, 2024
"Today's accelerated speed of regulatory and legal change means that business leaders need to boost their ability to track market forces and lean on legal advisers to look ahead," said Raj De, a Mayer Brown partner.
3 minute read
By Lisa Willis | April 3, 2024
"there is no scheme, no contract, no combination, nor a conspiracy," said one defendant of the antitrust litigation.
5 minute read
By Mason Lawlor | March 18, 2024
"Probably the largest transaction that people will make is buying or selling a home, so for most Americans, being able to save a significant amount of money in connection with that transaction is really meaningful, and it's one of the reasons I wanted to work on this," Plaintiffs' attorney, Robert A. Braun of Cohen Milstein Sellers & Toll, told Law.com.
4 minute read
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