All United States articles – Page 10
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Blog
Silvaco appoints general counsel
Silvaco Group, an electronics design automation tools and semiconductor IP provider, announced the appointment of Candace Jackson as senior vice president, general counsel and corporate secretary.
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Cowbell names general counsel
Cowbell, a provider of cyber insurance for small and medium-sized enterprises and middle-market businesses, has promoted Eric Biderman to general counsel.
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Bunker Hill names Rare Element GC to board
Bunker Hill Mining Corp. announced the appointment of Kelli Kast, who serves as the vice president, general counsel and chief administrative officer of Rare Element Resources, to its board of directors.
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Vibrant Emotional Health welcomes GC
Vibrant Emotional Health announced the appointment of Todd Pearson as its new general counsel.
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Princeton University’s first compliance chief to step down
Princeton University’s first chief audit and compliance officer Nilufer Shroff will step down at the end of this academic year.
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Altruist names compliance, ethics, risk chief
Altruist, the modern custodian for independent registered investment advisors, announced the appointment of LaSalle Vaughn as its new chief compliance, ethics, and risk officer.
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PremiumNew U.K. enforcement body piles pressure on sanctions evaders
Global sanctions rules are increasing rapidly, as are tools to detect and punish those who break them. In response, the U.K. government is creating a new Office of Trade Sanctions Implementation to investigate and penalize those who break sanctions rules.
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News BriefSEC enforcement head Grewal to step down
Gurbir Grewal, director of the Securities and Exchange Commission’s Division of Enforcement, will step down from his post Oct. 11. Grewal, who had served as the division’s director since 2021, will be replaced by Sanjay Wadhwa, currently the division’s deputy director, the SEC said.
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News BriefT-Mobile reaches $31.5M settlement with FCC over multiple data breaches
T-Mobile, which experienced three huge data breaches in the past three years, agreed to pay $31.5 million in penalties and remediation for failing to protect millions of its customers’ personal information as part of a settlement with the Federal Communications Commission.
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PremiumAre the qui tam provisions of the False Claims Act constitutional? A Florida judge just said no
A federal court in Florida has lashed out at federal whistleblower programs by dismissing a mundane False Claims Act case against a medical practice on the grounds that the qui tam provisions of the FCA are unconstitutional.
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News BriefTD Bank unit to pay $28M in penalties for failing to properly supervise rogue trader
Broker-dealer TD Securities failed to prevent a trader from placing and then withdrawing thousands of false trades over the course of a year in part because its compliance department failed to follow up on red flags generated by the illegal trades, three regulators said.
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News BriefFINRA fines Merrill Lynch, BofA Securities $2.3M for reporting, registration failures
The Financial Industry Regulatory Authority issued two separate fines against Merrill Lynch and BofA Securities totaling nearly $2.3 million for reporting violations and failing to timely file amendments on registration forms for their registered representatives.
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TFSB names TMNA diversity chief as CEO
Toyota Financial Savings Bank (TFSB) named Tellis Bethel, Toyota Motor North America (TMNA) group vice president, chief social innovation officer, and chief diversity officer, as its president and CEO.
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Nauticus Robotics announces GC
Nauticus Robotics announced that John Symington was appointed as general counsel.
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Leviton’s sustainability chief to also serve as COO
Leviton, which offers a wide range of lighting controls, wiring devices and networking, announced the appointment of its chief sustainability officer Ross Goldman as a chief operating officer.
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News BriefCassava Sciences settles with SEC for $40M over skewed Alzheimer’s drug data
A former Alzheimer’s researcher manipulated the results of a Cassava Sciences drug, with the pharmaceutical company and its former chief executive reaching a $40 million settlement with the Securities and Exchange Commission over allegedly misleading the public.
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News BriefFinCEN, OFAC sanction crypto platforms linked to Russia, cybercrime
U.S. and European law enforcement agencies have announced sanctions against two Russia-linked cryptocurrency platforms in their ongoing chase to snuff out Russian-linked financial platforms that assist cybercriminals.
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GeoLinks appoints general counsel
GeoLinks, an enterprise-level telecommunications company, announced that Mark Funaki has joined the company as general counsel and corporate secretary.
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San Antonio Water System names legal, ethics chief
The San Antonio Water System has promoted Edward Guzman to the position of senior vice president/chief legal and ethics officer.
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LendingPoint adds risk chief
LendingPoint announced that Dan Shuntich has joined the executive team as chief risk officer.