Equifax's failure to fix a well-known vulnerability in its computer systems that led to a monumental breach of customer information could prompt a tough government response, lawyers say.
"The Challenge of Change", STA 84th Annual Market Structure Conference, JW Marriott, Washington DC
Andy Melnick and Brian Walsh author Schwab’s Compliance Review and Personal Trading - In its February 2017 Risk Alert, the Securities and Exchange Commission (SEC) identified personal trading by investment advisor “access persons” as an area in which examination staff frequently find compliance failures. This notification to firms underscores the importance that the SEC ascribes to personal trading compliance. This white paper details the rule covering personal trading, provides practical tips for compliance, and discusses relevant enforcement cases that have resulted from noncompliance.
Each year Murphy & McGonigle collects school supplies to give to local charities in our communities so that more children have the materials they need to start the school year off right.
This Briefing will provide a roadmap of common plaintiffs' arguments and defendants' rebuttal arguments in actions filed by or on behalf of elder investors. Elizabeth M. Del Cid and Sharon A. O’Shaughnessy of Murphy & McGonigle will discuss recent rules and notices published by the regulators on senior investors, the standards of proof for financial elder abuse that arise in these cases in major jurisdictions (NY, CA, FL, VA, and NC), and the potential civil and criminal penalties that may be imposed.