Mondaq

AUGUST 18, 2021

FINRA alerted members to a phishing campaign involving the use of fraudulent FINRA domain names, including, but not limited to, (i) "@finrar-reporting.org", (ii) "@Finpro-finrar.org" and (iii) "gateway2-finra.org."

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Mondaq

DECEMBER 28, 2021

The SEC Standards of Conduct Implementation Committee called on firms to improve their Form CRS relationship summary disclosures.

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Mondaq

DECEMBER 2, 2021

A firm settled NYSE American charges for engaging in anticipatory hedging after acquiring undisclosed information regarding an imminent option transaction.

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Mondaq

JANUARY 31, 2022

A firm specializing in execution services for institutional and broker-dealer clients settled FINRA charges for short sales and FINRA trade reporting rule violations.

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Mondaq

APRIL 27, 2021

A firm settled FINRA charges for failing to immediately display customer limit orders, and for related supervisory violations.

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Mondaq

SEPTEMBER 22, 2021

The SEC stated that the firm's methodology required it to prioritize the fulfillment of customer, dealer, syndicate member and other broker-dealer orders over flipper orders.

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Mondaq

JULY 26, 2021

A firm and its former CEO settled SEC charges for accounting, reporting and internal control failures that resulted in a multi-year restatement of its financial statements.

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Mondaq

FEBRUARY 16, 2022

In a registration filing with the SEC, an investment firm is seeking approval of a series of double-leveraged bullish and bearish exchange-traded funds ("ETFs") that each track the performance of a single U.S.-listed listed equity security.

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Mondaq

DECEMBER 27, 2021

A broker-dealer / swap dealer settled parallel SEC and CFTC charges for "widespread" recordkeeping failures related to communications on personal devices, personal email and Internet applications.

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Mondaq

AUGUST 3, 2021

A public accounting firm and three of its partners settled SEC charges for improper professional conduct while competing for selection as an independent auditor for a U.S. publicly traded company.

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Mondaq

JANUARY 21, 2022

A broker-dealer settled NYSE Arca, Inc. and NYSE American LLC ("Exchanges") charges for supervisory failures in connection with partial tender offers.

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Above The Law

AUGUST 10, 2023

The post This Biglaw Firm Won’t Be Moving To A 4-Day In-Office Attendance Policy — Yet appeared first on Above the Law. But attendance will be taken into account for performance reviews.

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Laws Law Firm Law Firms 98

Above The Law

MAY 13, 2025

As major law firms either cave to Donald Trumps demands by making deals with the administration or cower in silence, the gap between law firm leaders and the young lawyers who work for them has never been more stark. Some senior lawyers have also left firms that made deals with Trump. based firm tells me. The message?

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ABA Journal

APRIL 3, 2023

A partner at Cadwalader, Wickersham & Taft has left the law firm to join the defense team representing former President Donald Trump in the indictment…

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Law Firm Law Firms Laws 98

Above The Law

APRIL 15, 2025

To put it bluntly, nine of the nations most profitable law firms cut deals with the administration in order to get off the presidents personal s**t list. These firms are: Paul Weiss, Skadden Arps, Willkie Farr, Milbank Tweed, Kirkland & Ellis, Latham & Watkins, Simpson Thacher, A&O Shearman, and Cadwalader, Wickersham & Taft.

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Law Firm Law Firms Legal Services Legal 117

Above The Law

APRIL 14, 2025

Highlights from Last Week – Top Fifteen Headlines #1 Executive Order Threatening Susman Godfrey Firm Sues in Response. 2 Nearly $1B in Pro Bono Work Pledged by Firms to Avoid Punitive Executive Orders – Trump Plans to Use it for Tariffs, Coal Industry and the America First Agenda. Two headlines for #1. Read more here.

Legal 111

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Above The Law

MAY 12, 2025

2 Kirkland And Other Law Firms Explain Deals With Trump. From Law360 : The most recent law firms to cut deals with the Trump administration told law makers, in letters obtained by Law360 , that the deals affirmed their commitment to merit-based hiring and to pro bono work as they continue to choose their own clients. . #6

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Lawyers Lawyer Legal Legal 89