All United States articles – Page 65
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Blog
Disney general counsel named chief legal officer
The Walt Disney Company announced Senior Executive Vice President, General Counsel and Chief Compliance Officer Horacio Gutierrez will be its senior executive vice president, chief legal and compliance officer.
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Blog
Bumble chief legal and compliance officer to resign
Online dating app Bumble announced its chief legal and compliance officer and secretary, Laura Franco, has decided to resign.
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Chime adds chief compliance officer
Financial technology company Chime welcomed Shara Chang as chief compliance officer.
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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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Baldor Specialty Foods adds general counsel
Baldor Specialty Foods announced Avisheh Avini as general counsel.
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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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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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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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NMSU adds new general counsel
New Mexico State University selected Lisa Henderson as general counsel and chief legal affairs officer.
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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.