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Tag Archives: individual
SEC Awards Two Whistleblowers $50 Million, Including Third Largest Ever Individual Award
On March 26, 2019, the SEC announced that it was awarding two whistleblowers a total of $50 million for providing the agency with information that led to a successful enforcement action. The two awards consisted of an award to one … Continue reading
Posted in Corporate Law
Tagged award, awards, EVER., Including, individual, Largest, million, third, Whistleblower’s
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Individual Rescued from Partially Submerged Car in Brevard County
Emergency personnel with the Palm Bay Fire Rescue were on hand to respond to reports of a rollover accident that took place along the on-ramp to Interstate 95 within Brevard County. According to the official statement issued by the Palm … Continue reading
Posted in Injury & Accident Law
Tagged Brevard, County, individual, Partially, RESCUED, submerged
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Examining public and individual health issues amidst debates over marijuana reform
After a well-deserved week off for spring break, the students in my Marijuana Law, Policy & Reform Seminar are back at it this coming week with presentations on their research topics. The first presentation this week will focus on health … Continue reading
Posted in Health Law
Tagged amidst, debates, Examining, health, individual, Issues, Marijuana, over, public, Reform
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The FCA fines an individual for failing to observe proper standards of market conduct and on similar facts issues its first formal decision under its competition powers against three asset management firms
On 21 February 2019, the FCA fined two asset management firms for breach of competition law. No fine was imposed on the other asset management firm, Newton Investment Management Limited (Newton), as it had been given immunity under the competition … Continue reading
Posted in Banking and Finance law
Tagged against, Asset, Competition, Conduct, Decision, Facts, Failing, Fines, firms, First, Formal, individual, Issues, Management, market, observe, powers, proper, similar, Standards, Three, under
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UBS, Credit Suisse and Other Wall Street Firms Continue to Face Scrutiny for Yield Enhancement Strategy (YES) Investments Sold to Individual Investors
Similar to all other consumer industries, there are fads in the retail investment market. One recent fad promoted by big Wall Street banks like UBS and Credit Suisse is the “yield enhancement strategy,” also known by the acronym, “YES.” Despite … Continue reading
Posted in Banking and Finance law
Tagged “Yield, continue, Credit, Enhancement, face, firms, individual, Investments, Investors, scrutiny, Sold, Strategy, Street, Suisse, Wall
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