Supreme Court to Hear Challenge on SEC’s Enforcement Powers
A pivotal challenge to the U.S. Securities and Exchange Commission (SEC) authority is set to unfold before the Supreme Court,…
FINRA
Wilson Elser Welcomes Carlos Enrique Provencio to Washington Office
Summary: The law firm of Wilson Elser has announced that Carlos Enrique Provencio has joined the firm in its Washington, D.C.…
Finra Looking at Wall Street Trading Data
According to a report in the Wall Street Journal, the chairman and chief executive officer of Wall Street’s self-regulator, Richard…
FINRA Regional Director Resigns as Prior Bingo Fraud Indictment Revealed
Last week, Mitchell C. Atkins, who was a regional director and head of FINRA’s District 7, in Boca Raton, Florida,…
Court Rules in Favor of SEC withholding FINRA Records from Public
On Thursday, U.S. District Judge Beryl Howell ruled that the SEC had no requirement to publicly release records of their…
Florida Broker Who Used to Advice NFL Players Barred by FINRA
On Thursday, Jeffrey Rubin, a Florida broker accused of enticing more than 30 professional U.S. football players into investing a…
NY State Judge Holds He Lacks Jurisdiction to Enforce FINRA Arbitration
On Friday, Nassau County Supreme Court Justice Stephen Bucaria vacated his own order given in February affirming a FINRA award,…
Jenner & Block Partner Andrew Weismann Joins FBI as General Counsel
Andrew Weissmann, partner with Jenner & Block, has joined the Federal Bureau of Investigation (FBI) as its General Counsel and…
SEC Veteran Brigagliano Joins Sidley Austin
The law firm of Sidley Austin announced recently that Securities and Exchange Commission veteran James A. Brigagliano will join the…
Morning Roundup
Good morning everyone! Today is Tuesday, October 26th. Here's a quick look back at yesterday's stories. Baker Botts partner J.…
Baker Botts Partner Appointed Head of Enforcement for FINRA
Baker Botts partner J. Bradley Bennett has been named the new head of enforcement for the Financial Industry Regulatory Authority.…
Former FINRA Enforcement Chief Joins Bingham McCutchen
Bingham McCutchen has added a new partner to its New York office: Susan Merrill, the former head of enforcement at…