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Recent Posts
- Blog: Broker-Dealer Law CornerFINRA’s Revolving Door: Much Ado About NothingPosted on April 20, 2018 by Michael GrossAs loyal readers are undoubtedly already aware, I used to work for NASD, and Michael more recently came to Ulmer from FINRA. That hardly means we win every FINRA Enforcement case we are engaged to defend. To suggest that because we came through the “revolving door,” FINRA does whatever we suggest is, frankly, absurd. I...… Continue Reading
- Blog: Waller Law BlogOIG Offers Online Access to Compliance ResourcesPosted on April 19, 2018 by Denise D. Burke
- Blog: Data Security Law BlogUber’s Latest HeadachePosted on April 18, 2018 by Maren J. Messing, Craig A. NewmanAn expanded settlement by the Federal Trade Commission with ride-sharing giant Uber Technologies should serve as a lesson to other businesses about what happens when a company fails to disclose a data breach during an ongoing agency investigation. The settlement comes after the agency learned that Uber did not disclose a 2016 breach which affected [...]
