On September 4, 2024, the United States District Court for the Eastern District of Pennsylvania denied D. Allen Blankenship’s challenge to enjoin the Financial Industry Regulatory Authority’s (FINRA) disciplinary action...more
9/20/2024
/ Administrative Law Judge (ALJ) ,
Article III ,
Disciplinary Proceedings ,
Financial Industry Regulatory Authority (FINRA) ,
Fraud ,
Jury Trial ,
SCOTUS ,
SEC v Jarkesy ,
Securities Exchange Act of 1934 ,
Securities Fraud ,
Subject Matter Jurisdiction ,
Unconstitutional Condition
With the growing use of artificial intelligence (AI) in financial markets, broker-dealers and investment advisers need to pay attention to the risks posed by AI on firms’ compliance with federal securities laws. While machine...more
11/14/2023
/ Algorithms ,
Artificial Intelligence ,
Broker-Dealer ,
Compliance ,
Conflicts of Interest ,
Data Privacy ,
Discrimination ,
Financial Markets ,
Fraud ,
Investment Adviser ,
Machine Learning ,
Market Manipulation ,
Popular ,
Securities and Exchange Commission (SEC) ,
Software