8,078 results found

Last year, the SEC's Division of Enforcement launched the "Municipalities Continuing Disclosure Initiative" offering "favorable settlement terms" to municipal issuers and underwriters who self-report continuing disclosure violations.

William Bogot was featured in the Chicago Tribune article, "Gun Shop Raffle To Benefit Orlando Victims Canceled Amid Legal Questions."

Over the years that I have defended financial advisors and their firms, I have frequently spoken and written about ways to avoid the risk of being sued.

Michael A. Hyett, Lloyd P. Eisen, Robert P. Lang, Peter S. Myers and Sean R. Kenney were featured in the Bloomberg Law article, "In Merger Frenzy, Too Many Firms with Delusions of Grandeur?"

As a follow up to our blog last week that the U.S. House Labor, Health and Human Services Appropriations Subcommittee passed appropriations language prohibiting the National Labor Relations Board (NLRB) from expending funds for prosecutions ..

We are pleased to share with everyone Josh Horn’s excellent guidance on RIA conflicts of interest, recently, published in the Practical Compliance and Risk Management for the Securities Industry, a professional journal published by Wolters Kluwer Financial Services, Inc.

Gregory J. Kleiber was featured in the Philadelphia Broadway World article, "Lantern Theater Company Announces New Board, Executive Leadership."

Fox Rothschild LLP was featured in the Venture Capital Access Online article, "Lasko Holdings Acquired by Comvest and JW Levin Management Partners."

Fox Rothschild LLP was featured in the Daily Local News article, "Lasko Sold to Investment Firms, Family CEO To Retire."

The New Year heralded important changes for Limited Liability Companies (LLCs) doing business in Florida.

As a short follow up to last week's post on the NLRB's Browning-Ferris decision redefining the Joint Employer Test, I just feel the need to mention my partner Liz Sigety contributed her insights on the potential impact to franchisees to an article from the Franchise Times

On January 10, 2017, the U.S. House of Representatives passed a bill which directs the Securities and Exchange Commission (SEC) to revise Regulation D.

Fresh from convicting numerous individuals, U.S. Attorney for the Southern District of New York Preet Bharara said that his office will focus, in appropriate cases, on holding institutions liable for wrongdoing.

The latest post-election domino has fallen. Mary Jo White, the chair of the Securities and Exchange Commission, will step down at the end of the Obama administration.

Matthew R. Kittay is featured in the Fox 29 article, "Spring Smart Talk Session Crowd-Sources Crowdfunding Advice from the Experts."

The MCN market remains red-hot. The latest big announcement is the acquisition of a controlling share of fashion-focused MCN StyleHaul by RTL Group for $107 million, in a deal that values the company at $151.4 million.

Scott L. Vernick recently spearheaded a survey that was featured in The Wall Street Journal: Risk & Compliance Journal article, "Survey Roundup: Technology Issues Hamper Compliance" on June 24, 2016.