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UB Greensfelder LLP

Voya Settlement Shows That Self-Reporting To FINRA Can Pay Off

UB Greensfelder LLP on

I have written before about the troubling lack of clarity regarding the tangible benefit of self-reporting rule violations to FINRA. While FINRA purports to provide some potential advantage for doing so, it is so awfully...more

UB Greensfelder LLP

Wedbush Learns That It’s Not Enough Just To Spot Red Flags

UB Greensfelder LLP on

I have been busy the last month getting ready for a big arbitration, and attending the first week of what looks like is going to be a four- or five-week slog when all is said and done. So, I am just catching up on some recent...more

Akin Gump Strauss Hauer & Feld LLP

Red Notice Newsleter

Akin Gump Strauss Hauer & Feld LLP on

Welcome to the May 2014 edition of Red Notice, a publication of Akin Gump Strauss Hauer & Feld LLP. This month, on the anticorruption front, Avon Products, Inc. (“Avon”) agrees to pay USD $135 million to settle a...more

Morgan Lewis

Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

Morgan Lewis on

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during...more

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