Presented below is a highlight of eight noteworthy enforcement actions the Securities and Exchange Commission has taken against investment advisers through the second quarter of 2023..
On March 31, 2023, U.S. District Judge Ronnie Abrams of the Southern District of New York dismissed a putative securities class action against CarLotz, Inc. (CarLotz), and certain of.
Vida Longevity Investors Represented by Goldman Scarlato & Penny Attorneys File Suit Against Vida Companies, Affiliates, and Former Executive apnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from apnews.com Daily Mail and Mail on Sunday newspapers.
As ICSD community members, we would like to confirm that the Board of Education ( BOE ) of the ICSD conducted an appropriately independent, neutral, and diligent review of the workplace-related claims raised in the Urgent Appeal for NYS Education Department Intervention for Accountability, Justice and Fairness in the Matter of Brown, Brown & the Board of Education, Ithaca City School District, dated January 5, 2021, as filed by Peyi Soyinka-Airewele et al. with the New York State Commissioner of Education, on or about January 5, 2021 (the Appealâ).Â
We have reviewed related press coverage of the Appeal, including the article, Allegations Against ICSD Superintendent Emerge After Resignation, by Tanner Harding, in the Ithaca Times, published January 13, 2021, and accessed electronically on Ithaca.com on January 14, 2021 (hereafter, the Bradwell Interview ), and Complaints, Letter of Allegations Emerge in Wake of ICSD Superintendent Brown s Resignation, by Matt Butler, in
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UPDATE: As of December 30, 2020, Arizona, Arkansas, Michigan, and Rhode Island have joined Iowa in adopting the NAIC model rule for best interest standard in annuity sales. Alabama, Delaware, Kentucky, Maine, Nevada and Ohio were also considering legislation or regulations that would implement the model rule. New York has its own rule (that is different than the model rule).
UPDATE: May 11, 2020, Iowa adopted its proposed regulation requiring annuity agents to act in the best interest of consumers, but delayed adoption (or revision, withdrawal) of the companion securities rules. The Commissioner said that he expects to return to the securities proposals later this summer.