On September 20, 2022, the SEC announced settled charges and the imposition of a $35 million penalty against a dually registered investment adviser and broker-dealer (the “Firm”) for violations of Regulation…
On Tuesday, March 22, Anna Gressel and Avi Gesser from our Data Strategy and Security Group and Tigist Kassahun of our M&A and Corporate IP practices hosted a timely discussion on emerging…