For the first time, the Commodity Futures Trading Commission (CFTC) announced 2019 Examination Priorities for registrants of the Division of Market Oversight (DMO), Division of Swap Dealer & Intermediary Oversight
Kennyhertz Perry Attorney Braden Perry was recently featured in a U.S. News & World Report article discussing the pros and cons of investing in private securities. The article noted that since
Kennyhertz Perry Attorney Jeff Donoho was recently featured in Kansas City Star article on the booming business of Medical Marijuana in Missouri. The article noted that as the state publishes
The United States is a Federation, which means that our States have a certain degree of independent authority. Many states have legalized cannabis for medicinal or recreational use, but the
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
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.
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
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
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
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
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.
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
