Boustead Securities Survives Motion to Dismiss in Success Fee Dispute (BrokeAndBroker.com Blog)
5Cir Sustains SEC's No-Deny Precondition for Settlements
Securities and Exchange Commission, Plaintiff/Appellee, v. Christopher A. Novinger; ICAN Investment Group, L..L.C., Defendants/Appellants (Opinion, United States Court of Appeals for the Fifth Circuit, No. 21-10985 / July 12, 2022)
SEC Charges Four Unregistered Brokers Who Sold Sky Group Securities (SEC Release)
SEC Adopts Amendments to Proxy Rules Governing Proxy Voting Advice / Amendments Address Concerns by Investors and Others Regarding Rules That May Impair the Timeliness and Independence of Proxy Voting Advice (SEC Release)
Protecting the Independence of the Proxy Voting Process: Statement on Amendments Governing Proxy Voting Advice by SEC Commissioner Allison Herren Lee
U-Turn: Comments on Proxy Voting Advice by SEC Commissioner Hester M. Peirce
Statement on Final Rule Amendments on Proxy Voting Advice by SEC Commissioner Mark T. Uyeda
SEC Proposes Amendments to Shareholder Proposal Rule (SEC Release)
Improving the Shareholder Proposal Process: Statement on Proposed Amendments to Rule 14a-8 by SEC Commissioner Allison Herren Lee
Statement on Adoption of Amendments to Proxy Rules Governing Proxy Voting Advice & Proposal of Amendments to Rule 14a-8 by SEC Commissioner Caroline A. Crenshaw
Exclusion Preclusion: Statement on the Shareholder Proposals Proposal by SEC Commissioner Hester M. Peirce
Statement on Proposed Amendments for Substantial Implementation, Duplication, and Resubmission of Shareholder Proposals under Exchange Act Rule 14a-8 by SEC Commissioner Mark T. Uyeda
FINRA Arbitrators Award $1.6 Million in Dispute Over Fees for Services and Engagement Letter
Bardavon Health Innovations L.L.C., Claimant, v. Spurrier Capital Partners LLC, Respondent (FINRA Arbitration Award)
SEC Denies Award To Whistleblower Claimant
Order Determining Whistleblower Award Claims
SEC Denies Award To Whistleblower Claimant
Order Determining Whistleblower Award Claims
SEC Denies Award To Whistleblower Claimant
Order Determining Whistleblower Award Claims
FINRA Bars Associated Person for Using Internet During Registration Examinations
In the Matter of Harris Kausar, Respondent (FINRA AWC)
FINRA Bars Rep for Using Internet During Registration Examinations
In the Matter of Brandon Autiero, Respondent (FINRA AWC)
Guest Blog: Fair Credit Reporting Act (FCRA) and Regulation S-P by Regulated or Aggrieved (BrokeAndBroker.com Blog)
