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FINRA

Wilson Elser Welcomes Carlos Enrique Provencio to Washington Office

Wilson Elser Welcomes Carlos Enrique Provencio to Washington Office 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 more

No Comment August 20, 2014

Finra Looking at Wall Street Trading Data

Finra Looking at Wall Street Trading Data 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 more

No Comment April 11, 2014

FINRA Regional Director Resigns as Prior Bingo Fraud Indictment Revealed

FINRA Regional Director Resigns as Prior Bingo Fraud Indictment Revealed 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 more

No Comment June 17, 2013

Court Rules in Favor of SEC withholding FINRA Records from Public

Court Rules in Favor of SEC withholding FINRA Records from Public 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 more

No Comment March 15, 2013

Florida Broker Who Used to Advice NFL Players Barred by FINRA

Florida Broker Who Used to Advice NFL Players Barred by FINRA 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 more

No Comment March 9, 2013

NY State Judge Holds He Lacks Jurisdiction to Enforce FINRA Arbitration

NY State Judge Holds He Lacks Jurisdiction to Enforce FINRA Arbitration 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 more

No Comment December 4, 2012

Jenner & Block Partner Andrew Weismann Joins FBI as General Counsel

Jenner & Block Partner Andrew Weismann Joins FBI as General Counsel 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 more

No Comment October 27, 2011

SEC Veteran Brigagliano Joins Sidley Austin

SEC Veteran Brigagliano Joins Sidley Austin 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 more

No Comment September 22, 2011

Morning Roundup

Morning Roundup 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 more

No Comment October 26, 2010

Baker Botts Partner Appointed Head of Enforcement for FINRA

Baker Botts Partner Appointed Head of Enforcement for FINRA 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 more

No Comment October 25, 2010

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Job of the Day
Litigation Associate with 1-3 years of IP Litigation experience
USA-MA-Boston

Seeking a litigation associate with 1-3 years of IP litigation experience, strong academic credentials, and exceptional analytic skills and writing ability. In addition, a passion for patents, tradema...