category securities-litigation Financial Institution Related Topics 
Burr Forman
NOVEMBER 22, 2021
The Financial Crimes Enforcement Network (“FinCEN”) unit of the U.S. Department of the Treasury called this week for the nation’s financial institutions to be on the lookout for money flows indicative of environmental crimes. Earlier in the week, FinCEN convened a virtual exchange on the issue. FinCEN Notice FIN-2021-NTC4 (Nov.
Burr Forman
FEBRUARY 2, 2021
The broad categories of issues addressed in the Report are: Firm Operations. Potter, III ( tpotter@burr.com ) is a partner in the Securities Litigation Practice Group at Burr & Forman, LLP. He has over 34 years of experience representing financial institutions in litigation, regulatory, and compliance matters.
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Burr Forman
OCTOBER 15, 2021
In remarks this week at SEC Speaks, SEC Investor Advocate Rick Fleming mused that the “gamification” of securities trading might pose an undue risk that exploits a potential loophole in Regulation Best Interest (“Reg. Potter, III (tpotter@burr.com) is a partner in the Securities Litigation Practice Group at Burr & Forman LLP.
Burr Forman
FEBRUARY 9, 2021
New Investors held smaller balances in their taxable accounts when compared with investors in the other two categories.”. The family says Kearns had executed a complicated options trade — a put option spread, simultaneously buying and selling put options on the same underlying security. The FINRA Study is here.
Burr Forman
DECEMBER 10, 2021
Breach notification requirements obligate organizations that are collecting, storing, processing, or otherwise in possession of personally identifiable information to notify the individuals if the information is compromised in a security breach. Financial account number, Credit card number, or. Debit card number.
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