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Scottrade Securities and Exchange Commission (SEC)

Robins Kaplan LLP

Your Daily Dose of Financial News

Robins Kaplan LLP on

The weekend’s business news was dominated by the word that AT&T has agreed to buy Time Warner for $85.4 billion in the biggest yet in a series of telecomm mergers....more

Burr & Forman

FINRA Fines & AWC’S for Blue-Sheet Violations on Which SEC Sought Admissions

Burr & Forman on

I wrote earlier that the SEC was wrong to extend its “admission of wrongdoing” policy (once reserved for extreme cases) to negligent software-glitch misreporting of trade-data in the Scottrade case...more

Burr & Forman

SEC’s Recent Admissions Case Muddies Standard

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The SEC famously announced last year that it would insist upon admissions in settled cases involving egregious conduct – instead of its long-standing “neither admit nor deny” rubric. But its recent Scottrade action has the...more

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