SEC Enforcement Actions Against Public Companies Trending Higher
In its 2018 annual report, the SEC showed that during the fiscal year that ended on September 30, 2018, both the volume of the SEC’s enforcement activity and the level
Providing Financial Services for Missouri Marijuana-Related Businesses: Navigating the Complex Landscape
Nearly two-thirds of America’s states, including Missouri, have legalized marijuana for certain uses, but the federal government still classifies marijuana as a “Schedule 1” drug, on a par with heroin.
Does Someone Own Everything? The Carlton Dance and Hakuna Matata
Two recent cases in the news demonstrate the dangers of failing to consider judicious management of intellectual property rights with regard to products that include expressive content or identifiers. The
FBI Cyber Division Warns of Targeting Audio and Visual Communication Devices on Business Networks
Private Industry Notification (PIN) 20190102-001 was being distributed to make private sector partners aware of the exploitation of audio visual communication devices on networks to identify vulnerabilities which could later
CFTC Fails to Prove Market Manipluation in CFTC v. DRW Investments, LLC
In a recent decision, a Southern District of New York court found the Commodity Futures Trading Commission (“CFTC”) failed to prove DRW Investments, LLC (“DRW”) manipulated the price of an
Morgan Stanley Fined $10 Million by FINRA for AML Violations
FINRA fined Morgan Stanly $10 million after finding it failed to properly supervise an anti-money laundering (“AML”) program over five years because of three major issues: First, Morgan Stanley’s automated
PERRY FEATURED IN NB FINANCE PIECE ON COMMODITY TRADING
Braden Perry, a former CFTC Senior Trial Attorney that works in areas of novel and emerging technology with a financial focus, was featured in an NB Finance article on Commodity Trading.
CFTC Gets Default in $11 Million CPO Fraud Case
The Commodity Futures Trading Commission (CFTC) recently announced an Order of default judgment and permanent injunction has been issued against defendants Capital Growth Group Associates and Cobra Development Group in
Braden Perry Discusses the Marriott Data Breach with MPI
Braden Perry, a regulatory and enforcement attorney that works in areas of novel and emerging technology with a financial focus, was featured in Meeting Professionals International (MPI) article on the
Braden Perry Featured in Finance Magnates Crypto Year in Review
Braden Perry, a regulatory and enforcement attorney that works in areas of novel and emerging technology with a financial focus, was featured in Finance Magnates year-end review on the regulatory
CFTC Wins Judgment Against Commodity Pool Blue Guru
Today, The Commodity Futures Trading Commission (CFTC) announced today that Defendant Mark R. Slobodnik, operating as Blue Guru, LLC, was ordered to pay approximately $370,000 in fines in connection with
World’s Largest Copy Machine Generates Copyright Damages
The founder of Wired Magazine, Kevin Kelly, observed that “The internet is the world’s largest copy machine.” This giant copy machine is easy to operate and explosively expands copying. In