Law Offices of Gary Martin Hays & Associates
P.C.
75 Ponce De Leon Ave NE Ste 101
Atlanta,
GA 30308(470) 294-1674
www.garymartinhays.com
By C. Ryan Barber | Mike Scarcella | September 24, 2019
Lawyers from King & Spalding are advising CFTC leaders as the agency comes under scrutiny in a Chicago court. Plus: early commentary on draft CFIUS rules. Scroll down for Who Got the Work. Thanks for reading!
By Jenna Greene | September 24, 2019
Lawyers from Paul, Weiss; Cleary Gottlieb and Latham & Watkins negotiated a settlement with the U.S. Securities and Exchange Commission on behalf of former Nissan CEO Carlos Ghosn and the Japanese automaker.
New York Law Journal | Analysis
By Barry R. Temkin and Melissa Tarentino | September 24, 2019
The new regulations require broker-dealers to eschew sales contests which encourage sales of particular products.
By Suzette Parmley | September 23, 2019
The penalties were imposed on Extreme Energy Solutions Inc. of Sparta for selling unregistered securities, employing at least 14 unregistered agents to sell them, making false statements, and ignoring the bureau chief's instructions to cease selling during an investigation.
By Ross Todd | September 19, 2019
The agency claims that ICOBox acted as a broker without registering with the agency and should have registered its own "ICOS" tokens as securities.
By Ross Todd | September 18, 2019
The agency claims that ICOBox—the self-described "first and the biggest new generation Blockchain Growth Promoter and Business Facilitator for companies seeking to sell their products via ICO/STO crowdsales"—acted as a broker without registering with the agency and should have registered its own "ICOS" tokens as securities.
New York Law Journal | Analysis
By John C. Coffee Jr. | September 18, 2019
In his Corporate Securities column, John C. Coffee Jr. writes: The recent campaign of Harry Markopolos and his allies in attacking General Electric's accounting is fascinating, challenging, and hard to evaluate, but clearly it demonstrates that we need to rethink the current legal treatment of short selling and "negative activism".
Delaware Business Court Insider | Commentary
By Taylor D. Anderson | September 18, 2019
In a recent decision, Bay Capital Finance v. Barnes and Noble Education, the Delaware Court of Chancery interpreted and analyzed the effect of stockholder noncompliance with the express requirements of an advance notice bylaw.
By C. Ryan Barber | September 17, 2019
DOJ's Matt Miner has some new thoughts on how prosecutors are evaluating compliance programs. Plus: did you see the mea culpa from Jones Day for revealing grand jury info? Plus: Skadden's going to bat for a JPM executive, and scroll down for all the big new moves making headlines.
By Melanie Waddell | September 17, 2019
Three units improperly charged advisory fees on inactive client accounts and charged excess commissions for trusts, the Securities and Exchange Commission said.
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