All United States articles – Page 59
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Blog
Wood Group names Nabors CCO as group general counsel
Scotland-based consulting and engineering company John Wood Group announced Michael Rasmuson will join as group general counsel.
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News BriefLPL Financial fined $5.5M by FINRA over transaction supervision lapses
Independent broker-dealer LPL Financial agreed to pay more than $6 million as part of a settlement with the Financial Industry Regulatory Authority addressing alleged supervision failures regarding direct business transactions and the suitability of switch transactions.
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News BriefInteractive Brokers fined $3.5M in FINRA action
Electronic trading platform Interactive Brokers received a $3.5 million penalty from the Financial Industry Regulatory Authority for multiple alleged violations of the self-regulatory organization’s rules regarding execution and supervision.
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News BriefOEP Capital Advisors fined $4M over policy failures
OEP Capital Advisors agreed to pay a $4 million penalty as part of a settlement with the Securities and Exchange Commission addressing alleged deficiencies regarding the prevention of misuse of material nonpublic information.
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News BriefEx-ChristianaCare CCO wins $12M in False Claims Act settlement
The former chief compliance officer of ChristianaCare Health System will receive more than $12 million as part of a settlement addressing his allegations of kickbacks and other False Claims Act violations at the Delaware-based hospital network.
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News BriefSEC fines UAE-based Brooge Energy $5M in fraud case
Brooge Energy agreed to pay $5 million in a settlement with the Securities and Exchange Commission resolving fraud charges related to a scheme to inflate revenues.
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News BriefPURE Insurance to pay $466K in OFAC sanctions case
Insurance organization Privilege Underwriters Reciprocal Exchange agreed to pay $466,200 as part of a settlement with the Office of Foreign Assets Control addressing alleged sanctioned transactions on behalf of designated Ukrainian-Russian oligarch Viktor Vekselberg.
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News BriefFinCEN sets access rules for beneficial ownership registry
The Financial Crimes Enforcement Network made several changes suggested by commenters to a new rule allowing limited access to its beneficial ownership information registry.
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News BriefCFTC names chief data officer to boost analytic capabilities
The Commodity Futures Trading Commission announced two appointments to its Division of Data designed to help the agency leverage analytics and emerging technologies to improve its policymaking and oversight efforts.
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News BriefFTC seeking comment on proposed COPPA enhancements
The Federal Trade Commission issued a notice of proposed rulemaking to strengthen data security requirements and modernize certain aspects of the Children’s Online Privacy Protection Act Rule.
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Blog
Baldor Specialty Foods adds general counsel
Baldor Specialty Foods announced Avisheh Avini as general counsel.
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Blog
KSL promotes general counsel to partner
KSL Capital Partners, an investor in travel and leisure businesses, announced the promotion of General Counsel Kevin Rohnstock to partner.
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Blog
BBB National Programs adds NPR legal chief to board, re-elects EXL CECO
Nonprofit BBB National Programs announced the addition of NPR Chief Legal Officer, General Counsel, and Secretary Elizabeth Allen to its board. Re-elected to the board was EXL Chief Compliance and Ethics Officer Joel Katz.
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Blog
Truist appoints chief legal officer
Truist Financial Corp. announced Scott Stengel will join the company as senior executive vice president and chief legal officer.
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Blog
NMSU adds new general counsel
New Mexico State University selected Lisa Henderson as general counsel and chief legal affairs officer.
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Blog
Bicara Therapeutics appoints chief legal officer
Biotechnology company Bicara Therapeutics announced the appointment of Lara Meisner as chief legal officer.
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PremiumShades of GDPR? Experts assess AI Act as global standard
As the European Union’s AI Act sets its sights on 2026 to take full effect, experts are concerned other key jurisdictions might introduce divergent legislation that treats artificial intelligence use differently, thus making it difficult for companies to ensure compliance.
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News BriefPhilips unit settles DOJ false claims case for $14.7M
Wireless medical technology company BioTelemetry and its subsidiary LifeWatch Services agreed to pay more than $14.7 million as part of a settlement with the Department of Justice regarding alleged false claims submitted to federal healthcare programs.
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News BriefRite Aid gets 5-year facial recognition use ban from FTC
Retail pharmacy chain Rite Aid agreed to a five-year ban on its use of facial recognition technology for surveillance purposes as part of a settlement with the Federal Trade Commission.
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Blog
Venerable Investment Advisers tabs general counsel
Venerable Holdings announced the addition of Kristina Magolis, who will serve as general counsel of Venerable Investment Advisers, its new wholly owned subsidiary.