Episode 6 of Showtime’s Billions leads up to a powerful scene where Axe and Rhoades finally go head-to-head. This blog will explore what you can expect to really happen in negotiations with an enforcement team if a similar situation…
In this week’s Billions episode entitled, The Good Life, U.S. Attorney Chuck Rhoades is ready to go after Axe Capital. We are taking a look at how that transpires despite a conflict of interest and lack of recusal….
This week we continue to examine the legal regulatory issues depicted in SHOWTIME’s series Billions, which is based on hedge-fund titan Bobby “Axe” Axelrod and his dynamic interactions with U.S. Attorney Chuck Rhoades. This week’s blog covers market manipulation…
JLG continues to explore the legal regulatory issues as presented in SHOWTIME’s new series Billions, which is based on hedge-fund titan Bobby “Axe” Axelrod and his dynamic interactions with U.S. Attorney Chuck Rhoades. This week’s blog covers Insider Trading…
SHOWTIME’s new series Billions kicks off introducing us to hedge-fund titan Bobby “Axe” Axelrod and the head of Axe Capital who faces-off against his nemesis, U.S. Attorney Chuck Rhoades. While the show definitely has a flare for the dramatic,…
Today, IAWatch revisited the case of Thomas Haider, a former CCO at MoneyGram, who was assessed a $1 million civil money penalty by FinCEN. In 2012 MoneyGram paid a $100 million dollar fine for fraud against its customers. In 2014,…
On January 5, 2016, FINRA published their 2016 Regulatory and Examination Priorities Letter (the “Letter”). Many of priorities discussed had appeared on previous examination priority letters. However, there were several notable new additions to this year’s Letter that warrant…
In its latest press release, the SEC announced that J.P. Morgan’s (JPMS) brokerage business agreed to pay $4 million to settle the claim that they made false statements in their marketing materials and on their website. The incorrect materials…
With barely over a week left on Commissioner Luis A. Aguilar’s tenure with the Securities and Exchange Commission (“SEC”), he summarized the changes he witnessed in the SEC during his seven years serving as Commissioner in his public statement…
The SEC’s challenges in implementing their own cybersecurity protocols could be similar to your firm. On December 16th, Commissioner Luis A. Aguilar of the Securities and Exchange Commission (“Commission”) released a public statement titled “Being a Responsible Steward: Ensuring…