By Avalon Zoppo | January 19, 2024
"My heart from the beginning of my career has always been on the plaintiff side," said former U.S. Magistrate Judge Sam Sheldon.
By Maydeen Merino | January 17, 2024
"If you're putting the robo adviser's interest ahead of the broker dealer's interest ahead of the investor, therein lies a conflict" Gary Gensler said.
By Maydeen Merino | January 11, 2024
Amid approval, SEC Chair Gary Gensler warns that "investors should remain cautious about the myriad risks associated with bitcoin and products whose value is tied to crypto."
By Avalon Zoppo | January 4, 2024
Court upholds dismissal of Philip Morris investors' claim that the cigarette giant made false statements regarding its clinical studies.
By Maydeen Merino | December 15, 2023
"As Gurbir Grewal, the director of the SEC's Division of Enforcement, has said, 'You simply can't ignore the rules because you don't like them or because you'd prefer different ones: the consequences for the investing public are far too great,'" SEC Chair Gary Gensler said.
By Maydeen Merino | December 13, 2023
"Having such a significant portion of the Treasury markets uncleared — 70 to 80 percent of the Treasury funding market and at least 80 percent of the cash markets — increases system-wide risk," SEC Chair Gary Gensler said.
By Maydeen Merino | November 28, 2023
"Taken together, the final rule will help address conflicts of interest arising when securitization participants take positions against ABS [asset-backed security] investors' interests," SEC Chair Gary Gensler said.
By Maydeen Merino | October 30, 2023
Lawyers voice concern with what they call the SEC's use of enforcement actions against cryptocurrency firms based on nebulous regulations concerning non-fungible tokens.
By Dan Roe | October 27, 2023
Defense lawyer Joan McKown, who spent her career working on financial regulatory matters including investigations, exams, internal investigations, and disputes throughout the United States, is honored with this NLJ Lifetime Achievement Award.
By Maydeen Merino | October 25, 2023
"We would never allow the New York Stock Exchange … to do the things that crypto intermediaries may be doing," Gensler said.
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