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  • Article

    FINRA Continuing Membership Application Checklist

    The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    FINRA Continuing Membership Application Checklist

    The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
Article

George Canellos To Speak At The 7th Annual Securities Litigation & Enforcement Institute

George Canellos, partner in Milbank's Litigation & Arbitration Group, will moderate a panel titled "White Collar Litigation Trends" at the New York City Bar's 7th Annual Securities Litigation & Enforcement Institute...
United StatesCorporate/Commercial Law
Milbank
Milbank
  • Article

    Getting The Message: What To Do (And Worry About) With Ephemeral Messaging Apps And Personal Devices

    Cadwalader partner Jeffrey Clark has authored a blog post, "Getting the Message: What to Do (and Worry About) With Ephemeral Messaging Apps and Personal Devices," which appeared in the most recent...
    United StatesCorporate/Commercial Law
    Hogan Lovells Cadwalader
    Hogan Lovells Cadwalader
  • Article

    Hard For ICOs To Avoid US Courts: Personal Jurisdiction Found In Two Recent Securities Cases Over Foreign ICO Defendants

    Over the past year, the plaintiffs' bar and Securities and the Exchange Commission (SEC) have brought class and enforcement action proceedings, respectively,
    United StatesCorporate/Commercial Law
    BakerHostetler
    BakerHostetler
  • Article

    In The Matter of William Slater, CPA and Peter E. Williams, III, Administrative Proceeding File No. 3-16381

    Last year, Saba Software, the two vice presidents that were responsible for the improper accounting practices and the CEO reached settlements with the SEC.
    United StatesCorporate/Commercial Law
    A&O Shearman
    A&O Shearman
  • Article

    Instructing Juries On Noneconomic Contract Damages

    Gathering pattern contract jury instructions from every state, we examine jurisdictions’ treatment of noneconomic damages.
    United StatesCorporate/Commercial Law
    Fox Rothschild LLP
    Fox Rothschild LLP
  • Article

    Litigating With The SEC

    The SEC has made clear that it welcomes the possibility of having more cases proceed to litigation and has the resources it needs to take hard cases to trial.<
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    Litigating With—And At—The SEC

    Last year, the Enforcement Division of the SEC announced its intention to bring more enforcement actions in its own administrative forum rather than in federal court.
    United StatesCorporate/Commercial Law
    WilmerHale
    WilmerHale
  • Article

    Massachusetts Challenges Regulation A+

    The final Regulation A+ rules are scheduled to go into effect on June 19, 2015.
    United StatesCorporate/Commercial Law
    Morrison Foerster
    Morrison Foerster
  • Article

    Massachusetts Court Rejects Chapter 93A Claim Based On Alleged Willful Nonpayment

    In CRA International, Inc. v. duPont Registry Group, the U.S. District Court for the District of Massachusetts examined whether a plaintiff can elevate a simple nonpayment dispute...
    United StatesCorporate/Commercial Law
    Greenberg Traurig
    Greenberg Traurig
  • Article

    Mootness Fees Granted To Stockholder Challenging Bylaw Provision

    In the recent decision of Jay Frechter v. Cryo-Cell International, Inc., Civil Action No. 11915-VCG (Del. Ch. Oct. 7, 2016), the Court of Chancery granted a mootness fee in connection with a lawsuit brought by a stockholder challenging a bylaw provision.
    United StatesCorporate/Commercial Law
    Pierson Ferdinand LLP
    Pierson Ferdinand LLP
  • Article

    More On Small Business Entities, Representation Only By Attorneys, And Administrative Disputes

    Last week I wrote on a recent news story out of Chicago in which it was held that where a car is registered in the name of a business entity, it must have an attorney to challenge a parking ticket.
    United StatesCorporate/Commercial Law
    Stoll Keenon Ogden PLLC
    Stoll Keenon Ogden PLLC
  • Article

    Must Board Meeting Notices Be Ingenuous?

    Yesterday's post briefly discussed former Chancellor William Chandler's ruling in Fogel v. U.S. Energy Systems, Inc., 2007 Del. Ch. LEXIS 178.
    United StatesCorporate/Commercial Law
    Allen Matkins Leck Gamble Mallory & Natsis LLP
    Allen Matkins Leck Gamble Mallory & Natsis LLP
  • Article

    Ninth Circuit Addresses Consideration Of Evidence Outside The Complaint

    On 13 August 2018, the Ninth Circuit, in Khoja v. Orexigen Therapeutics, ruled on the kinds of evidence, outside the complaint ...
    United StatesCorporate/Commercial Law
    A&O Shearman
    A&O Shearman
  • Article

    No Change Is Not An Option For 2023 LLC Filings

    In April, I wrote about AB 2431 which modifies the statement of information a statement requirement for LLCs. In 2020, the legislature enacted AB 3075 (Gonzalez)...
    United StatesCorporate/Commercial Law
    Allen Matkins Leck Gamble Mallory & Natsis LLP
    Allen Matkins Leck Gamble Mallory & Natsis LLP
  • Article

    Omar Siddiqui And Fry's Electronics

    In this episode of Busted, Michael Thomas and Drew Howell examine the scheme of former Fry's Electronics Vice President of Merchandising, Ausaf Umar "Omar" Siddiqui, and the elaborate way he was able to...
    United StatesCorporate/Commercial Law
    Foley & Lardner LLP
    Foley & Lardner LLP
  • Article

    Recent Case Reinforces Important Message On Trustee's Fees

    In Robert Rauschenberg Foundation v. Grutman, a Florida appeals court recently held that $24.6 million was reasonable compensation for trustees that served for approximately six years.
    United StatesCorporate/Commercial Law
    Lindquist & Vennum
    Lindquist & Vennum
  • Article

    SEC Judges Increasingly Ruling Against The Agency In 2015

    A Wall Street Journal analysis reveals the SEC's in-house judges have ruled against the agency more often in recent months.
    United StatesCorporate/Commercial Law
    Herbert Smith Freehills Kramer LLP
    Herbert Smith Freehills Kramer LLP
  • Article

    SEC Names David Gottesman As Deputy Chief Litigation Counsel

    On 15 April 2014 the SEC announced the appointment of David J. Gottesman as deputy chief litigation counsel in the SEC Division of Enforcement.
    United StatesCorporate/Commercial Law
    A&O Shearman
    A&O Shearman
  • Showing 841–860 of 34884 results

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