Burr Forman

OCTOBER 28, 2021

Read the article , written by Thomas (“Tom”) K. Potter, III. Read the article , written by Thomas (“Tom”) K. Potter, III. 17 Burr & Forman Attorneys Recognized In 2021 Legal Elite Of South Carolina. 06.22.2021 | By: India Vincent. 06.11.2021 | By: David D.

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Burr Forman

FEBRUARY 10, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Acting Chair Lee’s Statement is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post SEC Enforcement Staff Regains Subpoena Power appeared first on Burr & Forman.

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Burr Forman

OCTOBER 14, 2021

Recall that the settlement admissions policy was widely touted in 2013 by then-Chair Mary Jo White for cases involving: (i) “Egregious conduct”; (ii) “Large numbers of investors harmed”; (iii) “Significant risk to markets or investors”; (iv) “Particular future threat to investors or markets”; (v) “Unlawful obstruction of Commission’s processes.”

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Burr Forman

FEBRUARY 26, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Acting Chair Lee’s statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52

Financial Institution 52

Burr Forman

FEBRUARY 19, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The Policy Statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial services 52

Financial services Financial Institution Banks 52

Burr Forman

FEBRUARY 2, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The Report is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post FINRA 2021 Exam Results and Priorities appeared first on Burr & Forman.

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Financial Institution Trade Loans 52

Burr Forman

SEPTEMBER 11, 2020

At a September 10 press conference, Acting Assistant Attorney General Brian Rabbitt announced that the Department of Justice (“DOJ”) Criminal Division has reached 57 criminal prosecutions for fraud in connection with the Paycheck Protection Program in under six months since its enactment. Attorneys around the country.

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Financial Institution Loans 52

Burr Forman

AUGUST 18, 2021

i) eligibility criteria; (ii) features and privileges available; (iii) the nature and types of options transactions permissible for trading; (iv) the process (automated or manual) and material used to review and act on customer applications; and. See attorney profile. And Robinhood’s impending regulatory settlement, here: [link].

Trade 52

Trade Retail Financial Institution 52

Burr Forman

FEBRUARY 17, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The dissenting statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Collateral 52

Collateral Financial Institution Judgment 52

Burr Forman

APRIL 26, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Regulatory Notice 21-16 (April 21, 2021) is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post FINRA Cautions on Arbitration Clause appeared first on Burr & Forman.

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Burr Forman

JANUARY 6, 2021

77q(a)(1)); “(III) section 206(1) of the Investment Advisers Act of 1940 (15 U.S.C. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. 80b-6(1)); or. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52

Financial Institution 52

Burr Forman

FEBRUARY 26, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Acting Chair Lee’s statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 40

Financial Institution 40

Burr Forman

FEBRUARY 19, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The Policy Statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial services 40

Financial services Financial Institution Banks 40

Burr Forman

AUGUST 17, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. FINRA Regulatory Notice 21-29 is here: [link]. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52

Financial Institution Banks Collections 52

Burr Forman

AUGUST 31, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The Comment period runs thirty days from publication and includes a short-form “flyer” seeking comments from retail investors. Tom is licensed in Tennessee, Texas, and Louisiana.

Retail 59

Retail Trade Financial Institution 59

Burr Forman

FEBRUARY 18, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. SIFMA’s comment letter is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 59

Financial Institution 59

Burr Forman

FEBRUARY 12, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The statement is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52

Financial Institution 52

Burr Forman

FEBRUARY 11, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. (FINRA Feb. 10, 2021), is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post FINRA Issues Compliance Guidance on Low-Priced Stocks appeared first on Burr & Forman.

Financial Institution 52

Financial Institution Education 52

Burr Forman

MARCH 2, 2021

New York’s Attorney General issued an Investor Alert on Virtual Currency Risks, as did the SEC’s Division of Examinations. NY Attorney General Letitia James issued a March 1 Investor Alert pointedly listing the risks posed by digital assets, including: Highly unpredictable value. See attorney profile. Illiquidity.

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Financial Institution Banks Trade Financial services 74

Burr Forman

AUGUST 3, 2020

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. SEC Press Release 2020-165 (July 28, 2020) is here. Tom is licensed in Tennessee, Texas, and Louisiana.

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Burr Forman

NOVEMBER 30, 2020

Burr & Forman announces that 73 of its Alabama, Mississippi and Tennessee attorneys have been selected for inclusion among Mid-South Super Lawyers for 2020. This also includes 31 attorneys who were recognized as “Rising Stars,” up-and-comers under the age of 40. Coleman, III – Employment and Labor. Balogh – Class Action.

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Lawyers Bankruptcy Construction Banks 40

Burr Forman

MARCH 2, 2021

New York’s Attorney General issued an Investor Alert on Virtual Currency Risks, as did the SEC’s Division of Examinations. NY Attorney General Letitia James issued a March 1 Investor Alert pointedly listing the risks posed by digital assets, including: Highly unpredictable value. See attorney profile. Illiquidity.

Financial Institution 52

Financial Institution Banks Trade Financial services 52

Burr Forman

MARCH 3, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The Examination Priorities are here. Tom is licensed in Tennessee, Texas, and Louisiana. The post New Emphasis in SEC 2021 Examination Priorities appeared first on Burr & Forman.

Retail 52

Retail Financial Institution Trade 52

Burr Forman

MARCH 5, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The “Climate Task Force” Press Release 2021-42 (March 4, 2021) is here. Tom is licensed in Tennessee, Texas, and Louisiana.

Financial Institution 52

Financial Institution 52

Burr Forman

SEPTEMBER 23, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman LLP. See attorney profile. It’s likely, though, that standards will remain murky with enforcement front-running rule-making as the regulatory regimes crank into action. [1] 1] Gensler’s Sept.

Banks 52

Banks Trade Financial Institution 52

Burr Forman

OCTOBER 8, 2020

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The OFAC Advisory is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post Cyber-Security Awareness Month & Phishing FINRA appeared first on Burr & Forman.

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Burr Forman

MARCH 16, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Acting Chair Lee’s address is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post Climate, ESG Top Lee’s List at SEC appeared first on Burr & Forman.

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Financial Institution Government 40

Burr Forman

MARCH 16, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. Acting Chair Lee’s address is here. Tom is licensed in Tennessee, Texas, and Louisiana. The post Climate, ESG Top Lee’s List at SEC appeared first on Burr & Forman.

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Financial Institution Government 40

Burr Forman

MARCH 5, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. The “Climate Task Force” Press Release 2021-42 (March 4, 2021) is here. Tom is licensed in Tennessee, Texas, and Louisiana.

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Burr Forman

FEBRUARY 25, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. I wrote about Robinhood and the GameStop situation, here. Tom is licensed in Tennessee, Texas, and Louisiana.

Trade 52

Trade Collateral Financial services Financial Institution 52

Burr Forman

FEBRUARY 9, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. But without adequate information and safeguards, day-trading stonks is all fun and games, until it’s not. Tom is licensed in Tennessee, Texas, and Louisiana.

Trade 52

Trade Financial Institution Retail Financial services 52

Burr Forman

FEBRUARY 25, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. I wrote about Robinhood and the GameStop situation, here. Tom is licensed in Tennessee, Texas, and Louisiana.

Trade 40

Trade Collateral Financial services Financial Institution 40

Burr Forman

FEBRUARY 5, 2021

Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. See attorney profile. But it may be a long time before Robinhood finds its way out of Sherwood Forest. Tom is licensed in Tennessee, Texas, and Louisiana.

Trade 52

Trade Retail Lawyers Financial Institution 52