A pivotal challenge to the U.S. Securities and Exchange Commission (SEC) authority is set to unfold before the Supreme Court, marking another...
Summary: The law firm of Wilson Elser has announced that Carlos Enrique Provencio has joined the firm in its Washington, D.C. office. Wilson...
According to a report in the Wall Street Journal, the chairman and chief executive officer of Wall Street’s self-regulator, Richard Ketchum, has...
Last week, Mitchell C. Atkins, who was a regional director and head of FINRA’s District 7, in Boca Raton, Florida, resigned after...
On Thursday, U.S. District Judge Beryl Howell ruled that the SEC had no requirement to publicly release records of their oversight of...
On Thursday, Jeffrey Rubin, a Florida broker accused of enticing more than 30 professional U.S. football players into investing a total $40...
On Friday, Nassau County Supreme Court Justice Stephen Bucaria vacated his own order given in February affirming a FINRA award, holding that...
Andrew Weissmann, partner with Jenner & Block, has joined the Federal Bureau of Investigation (FBI) as its General Counsel and an Assistant...
The law firm of Sidley Austin announced recently that Securities and Exchange Commission veteran James A. Brigagliano will join the firm as...
Good morning everyone! Today is Tuesday, October 26th. Here’s a quick look back at yesterday’s stories. Baker Botts partner J. Bradley Bennett...
Baker Botts partner J. Bradley Bennett has been named the new head of enforcement for the Financial Industry Regulatory Authority. He will...
Bingham McCutchen has added a new partner to its New York office: Susan Merrill, the former head of enforcement at the Financial...
