Securities regulations

Regulatory Risk Transforms into a Board-Level Strategic Concern

Law.com Newswire

ALM Intelligence Pacesetter Research finds law firms developing upstream regulatory risk consulting and advisory services New York, NY – December 9th,  2020 – New research from ALM Intelligence finds the market for regulatory risk services evolving from a subject-matter expertise problem to an opportunity to integrate regulatory risk into a growth strategy with a strategic … Continue reading Regulatory Risk Transforms into a Board-Level Strategic Concern Continue Reading →

Brad Bennett, the former FINRA Chief Enforcement Officer, joins SEDA Experts as an expert witness in the financial industry leaders group.

Law.com Newswire

New York, NY, November 18, 2020 -SEDA Experts LLC, a consulting firm providing leading financial expert witness services, announced today that Brad Bennett joined the firm’s financial industry leaders group as an expert witness. “Brad’s reputation and extraordinary expertise in Broker-Dealer Regulation, FINRA Rules, and Financial Frauds, will be an invaluable asset to our firm and our … Continue reading Brad Bennett, the former FINRA Chief Enforcement Officer, joins SEDA Experts as an expert witness in the financial industry leaders group. Continue Reading →

Former IRS Criminal Investigation Chief, Don Fort, Joins Kostelanetz & Fink

Law.com Newswire

Fort Named Director of Investigations at Tax and White-Collar Boutique New York (October 29, 2020) — Kostelanetz & Fink, LLP, is pleased to announce that John D. (Don) Fort, the former Chief of the Internal Revenue Service’s Criminal Investigation (CI) Division, has joined the firm as Director of Investigations. Mr. Fort departed the IRS at … Continue reading Former IRS Criminal Investigation Chief, Don Fort, Joins Kostelanetz & Fink Continue Reading →

Kaufhold Gaskin Gallagher LLP Announces Growth and Name Change with Addition of Lateral Partner from Ropes & Gray

Law.com Newswire

SAN FRANCISCO, CA — Leading corporate and business litigation boutique, Kaufhold Gaskin LLP, announced today the addition of partner Richard “Rick” Gallagher, who was the co-Managing Partner of Ropes & Gray’s California offices.  The firm further announced its new name, Kaufhold Gaskin Gallagher LLP. Gallagher is a 20-year veteran of the securities and corporate litigation … Continue reading Kaufhold Gaskin Gallagher LLP Announces Growth and Name Change with Addition of Lateral Partner from Ropes & Gray Continue Reading →

NCLA Slams SEC’s Defense of Gag Rule that has Hoodwinked Americans for Half a Century

Law.com Newswire

Washington, DC (July 31, 2020) – For nearly 50 years, the U.S. Securities and Exchange Commission (SEC) has imposed a Gag Rule that silences people with a lifetime gag enforced through a threat of a reopened prosecution. NCLA client Barry D. Romeril, the former Chief Financial Officer of Xerox, is challenging the constitutionality of such a … Continue reading NCLA Slams SEC’s Defense of Gag Rule that has Hoodwinked Americans for Half a Century Continue Reading →