By Mason Lawlor | January 22, 2024
This case was first surfaced by Law.com Radar.
3 minute read
By Maria Dinzeo | November 3, 2023
"It's the toxic culture that's causing employees to call for wholesale change," said Robert Föehl, executive-in-residence for business law and ethics at Ohio University.
8 minute read
By Adolfo Pesquera | October 9, 2023
"Clark—who was in a supervisory position as PSE's Head of Northeast Trading and later as PSE's President—steered natural gas block trading business to (the third party) and others," the complaint alleges.
4 minute read
By Allison Dunn | August 30, 2023
"With respect to the industry as a whole, if we end up with a patchwork of state regulation around broker-dealer standards of care, it's going to be very difficult for the broker-dealer community, particularly those that operate on a national level to understand what the requirements are where they operate," said K&L Gates partner Rich Kerr of the recent decision dismissing Robinhood Financial's challenge to Massachusetts' "fiduciary duty rule."
4 minute read
By Ross Todd | August 25, 2023
The settlement announced this week with multiple banks over claims they colluded to prop up fees in the stock lending market comes after an earlier $81 million deal with Credit Suisse affiliates.
8 minute read
By Melea VanOstrand | August 21, 2023
"It's pivotal to portray not just the physical spaces to the minimum detail but also the lifestyle and aspirational aspects of the new development," said Alvaro Alesso, co-founder and COO at YUPIX.
5 minute read
By Maydeen Merino | August 15, 2023
"The SEC is just making it very clear to the industry that we're expecting these private fund administrators to protect the fund and its investors," attorney Will Atherton said.
4 minute read
By Maydeen Merino | August 4, 2023
Agency issues risk alert that investment firms are not meeting their compliance obligations.
4 minute read
By Allison Dunn | May 5, 2023
"We think this rule falls far outside what is a reasonable rule of unethical because one, it conflicts with the SEC's rule; two, it conflicts with the common law; and three, the secretary has pointed to no authority outside the state that has adopted a similar rule," Amy M. Saharia, a partner at Williams & Connolly, argued on behalf of Robinhood, noting that Section 415 of the act in question makes clear to "make the law of Massachusetts uniform with its sister jurisdictions and the federal government."
5 minute read
By Emily Cousins | April 6, 2023
Daniel E. Casagrande, counsel for the plaintiffs and partner at Cramer & Anderson, said it has been a long road.
4 minute read
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