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Fraud › Financial Industry Regulatory Authority (FINRA) › Appeals

Fraud is the making of false representations or engaging in deceptive behavior in order to unlawfully secure financial or personal gain. 
Proskauer - California Employment Law

Defendant Bore Risk Of Loss Due To Fraud When It Wired Settlement Proceeds To Imposter

Proskauer - California Employment Law on

Thomas v. Corbyn Restaurant Dev. Corp., 111 Cal. App. 5th 439 (2025) - The parties involved in this personal injury lawsuit settled the case for $475,000. An unknown third-party purporting to be plaintiff’s counsel sent...more

King & Spalding

Fifth Circuit Finds That New Jersey’s Discovery Rule Applies If Identity of a Specific Defendant Was Not Known Until After the...

King & Spalding on

On December 15, 2022, the U.S. Court of Appeals for the Fifth Circuit reversed the pleading-stage dismissal, as time-barred, of a case against Bank of New York Mellon by defrauded investors in the Allen Stanford Ponzi scheme....more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Sixth Circuit last week concluded that Morrison, which held that Section 10(b) does not have extraterritorial reach, is inapplicable to Advisers Act Section 10(b). The DC Circuit, on rehearing, reaffirmed its prior...more

Katten Muchin Rosenman LLP

Corporate and Financial Weekly Digest - Volume IX, Issue 10

Katten Muchin Rosenman LLP on

In this issue: - FINRA Requests Comment on Proposed Rule Set for Limited Corporate Financing Brokers - SEC Issues No-Action Relief to Broker Dealers from Financial Responsibility Rule 15c3-3 Amendments -...more

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