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Settlement Agreements Filing Requirements Enforcement Actions

Troutman Pepper Locke

Legal Filing Services Provider Agrees to Pay $95,000 in Refunds to Resolve Colorado AG’s Allegations Regarding Deceptive...

Troutman Pepper Locke on

Compliance Services Colorado, Inc. (CSC) and Colorado Compliance Services, LLC (CCS) (collectively, the parties) recently entered into an Assurance of Discontinuance (AOD) with Colorado Attorney General (AG) Phil Weiser to...more

Akin Gump Strauss Hauer & Feld LLP

Red Notice Newsletter - August 2018

ANTICORRUPTION DEVELOPMENTS - $34 Million SEC Settlement for Legg Mason - On August 27, 2018, the Securities and Exchange Commission (SEC) announced that Legg Mason Inc. will pay more than $34 million to settle an...more

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