Finra’s Record Haul in 2016
- Nov 25 2016
What is the amount of fines assessed by Finra this year? Thus far, 2016 has been a banner year for the Financial Industry Regulatory Authority (“FINRA”). Buoyed in part by …
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An Overview of FINRA Capital Acquisition Broker Rules
- Nov 23 2016
The Financial Industry Regulatory Authority (“FINRA”) recently announced that the new Capital Acquisition Broker (“CAB”) Rules will become effective April 14, 2017. While CABs still must be registered with the …
Jeffrey M. Haber Quoted in Ctnews.com Blog Getting Personal About Business
- Nov 22 2016
New York, NY (Law Firm Newswire) November 22, 2016 – Freiberger Haber LLP is pleased to announce that Freiberger Haber LLP, the firm’s principal, has been quoted in a two-part …
Supreme Court Weighs False Claim Act Seal Provisions
- Nov 22 2016
What are the seal provisions in a qui tam complaint? The U.S. Supreme Court is weighing the conditions under which a federal court should dismiss lawsuits brought by whistleblowers who …
The First Challenge To The Conflict Of Interest Rule And Related Exemptions Goes To The Department Of Labor
- Nov 22 2016
On November 4, 2016, a judge sitting in the United States District Court for the District of Columbia upheld the Department of Labor’s (“DOL”) fiduciary duty rules that were adopted …
The Sec Awards More Than $20 Million To A Whistleblower – The Agency’s Third Largest Award To Date
- Nov 18 2016
On November 14, 2016, the Securities and Exchange Commission (“SEC”) announced that it had awarded more than $20 million to a whistleblower “who promptly came forward with valuable information that …
Confidential Information Does Not Lose Its Protection Even After The Sale To Third Parties
- Nov 16 2016
On October 25, 2016, the Appellate Division, First Department issued a unanimous decision addressing the protection of confidential information. In BitSight Technologies, Inc. v. SecurityScorecard, Inc., 2016 NY Slip Op. …
State Farm, whistleblowers facing off at U.S. Supreme Court
- Nov 15 2016
On November 1, 2016, the U.S. Supreme Court heard oral argument on an appeal that State Farm Fire & Casualty Co. brought in a case filed by two whistleblowers back in 2006. (This …
Can Disclaimers In Transaction Documents Negate A Claim Of Reliance On Misstatements And Omissions?
- Nov 11 2016
On November 3, 2016, the Appellate Division, First Department revived a case against J.P. Morgan Securities LLC and JPMorgan Chase & Co., the parent company of Bear Stearns & Co. …
Small Litigation Funders And Purchasers Of Distressed Debt Beware – Champerty Is Alive And Well In New York
- Nov 9 2016
Champerty. Most people have never heard of the word, and, even if they did, it is more likely they do not remember what it means. The same is probably true …
