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Summary: The law firm of Wilson Elser has announced that Carlos Enrique Provencio has joined the firm in its Washington, D.C. office. Wilson Elser has announced that Carlos Enrique Provencio has joined the firm in its Securities & Commercial & Business…>read moreNo Comment August 20, 2014
According to a report in the Wall Street Journal, the chairman and chief executive officer of Wall Street’s self-regulator, Richard Ketchum, has reported that the Financial Industry Regulatory Authority is looking at trading data to see if brokers sometimes earn…>read moreNo Comment April 11, 2014
Last week, Mitchell C. Atkins, who was a regional director and head of FINRA’s District 7, in Boca Raton, Florida, resigned after evidence about him surfaced about a 1993 indictment in Louisiana “for felony theft and charitable bingo fraud.” The…>read moreNo Comment June 17, 2013
On Thursday, U.S. District Judge Beryl Howell ruled that the SEC had no requirement to publicly release records of their oversight of FINRA. The Public Investors Arbitration Bar Association had sued the SEC after the agency refused to produce certain…>read moreNo Comment March 15, 2013
On Thursday, Jeffrey Rubin, a Florida broker accused of enticing more than 30 professional U.S. football players into investing a total $40 million in a now-bankrupt casino, agreed to be permanently barred from the securities industry. He used to operate…>read moreNo Comment March 9, 2013
On Friday, Nassau County Supreme Court Justice Stephen Bucaria vacated his own order given in February affirming a FINRA award, holding that in case of Exchange Act violations resulting in FINRA awards, the state court does not have jurisdiction to…>read moreNo Comment December 4, 2012
Andrew Weissmann, partner with Jenner & Block, has joined the Federal Bureau of Investigation (FBI) as its General Counsel and an Assistant Director. In this capacity, he will provide comprehensive legal advice to the FBI Director and other FBI officials,…>read moreNo Comment October 27, 2011
The law firm of Sidley Austin announced recently that Securities and Exchange Commission veteran James A. Brigagliano will join the firm as a partner in the securities and futures regulatory practice. Prior to joining Sidley Austin, Brigagliano served as the…>read moreNo Comment September 22, 2011
Good morning everyone! Today is Tuesday, October 26th. Here’s a quick look back at yesterday’s stories. Baker Botts partner J. Bradley Bennett was named the new head of enforcement for the Financial Industry Regulatory Authority… Goodwin Procter was named the…>read moreNo Comment October 26, 2010
Baker Botts partner J. Bradley Bennett has been named the new head of enforcement for the Financial Industry Regulatory Authority. He will begin his tenure on Jan. 1. Bennett, a partner at Baker Botts since 2001, replaces James Shorris, who…>read moreNo Comment October 25, 2010
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Assistant General Counsel
Title: Assistant General Counsel Employer: American Association of Orthodontists Location: St. Louis Compensation: Salary Travel Requirements: Moderate; domestic. Contact: Sen...