Search for: "Jay B. Gould" Results 21 - 40 of 50
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19 Mar 2014, 1:14 pm by Jessica Brown
Brown and Jay B. Gould On March 10, 2014, Financial Industry Regulatory Authority, Inc. [read post]
21 Dec 2011, 9:59 pm by Patrick S. O'Donnell
New York: Oxford University Press, 2008.Ferngren, Gary B., ed. [read post]
18 Nov 2011, 2:17 pm by Ailyn Cabico
Written by Jay Gould On Wednesday, November 16, 2011, the SEC charged Morgan Stanley Investment Management [read post]
17 Dec 2013, 6:00 am by Doug Cornelius
SEC order against GLG Partners SEC Charges London-based Hedge Fund Adviser with Valuation Failures by Jay [read post]
3 Feb 2012, 8:43 am by Ailyn Cabico
Written by Jay Gould and Peter Chess On January 18, 2012, the Office of Investment Adviser Regulation [read post]
14 Mar 2012, 10:28 am by Ailyn Cabico
Written by Jay Gould, Michael Wu and Peter Chess The Commodity Futures Trading Commission (the &ldquo [read post]
15 Nov 2011, 9:12 am by Ailyn Cabico
Written by Jay Gould On October 18, 2011, the SEC released a notice of FINRA’s filing of Proposed [read post]
30 Jun 2011, 11:42 am by Ailyn Cabico
Written by Jay Gould and Michael Wu On June 22, 2011, the Securities and Exchange Commission (SEC) adopted [read post]
15 Feb 2019, 6:14 am
Class Action Filings—2018 Year in Review Posted by Alexander “Sasha” Aganin and John Gould [read post]
23 Aug 2019, 6:17 am
Action Filings—2019 Midyear Assessment Posted by Alexander “Sasha” Aganin and John Gould [read post]
22 Sep 2016, 6:00 am by Gautham Rao
Harvard), Katherine Turk (UNC), Holly Brewer (Maryland), Jane Dailey (Chicago), Sara MacDougall (John Jay [read post]