Alexander Martin Madrid

McGuireWoods LLP

Articles

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FinCEN Proposes No-Action Letter Process

USA - June 8 2022 On June 3, 2022, the Financial Crimes Enforcement Network (FinCen) issued an Advance Notice of Proposed Rulemaking proposing public comment on the…

Jeffrey J. Chapman, Bryce P. Saunders

Federal Reserve Bars Former Employee of Goldman Sachs Group

USA - April 19 2022 On April 1, 2022, the Board of Governors of the Federal Reserve System issued an Order of Prohibition against Joseph A. Jiampietro, a former managing…

Jeffrey J. Chapman, Katherine A. Garland

Supreme Court rejects “look-through” federal jurisdiction analysis for post-arbitration reviews

USA - March 31 2022 Following a completed arbitration, one or both of the parties involved typically seek judicial review of the arbitral order. The prevailing party may…

Northern District of Ohio Holds Expert Evidence Must Be Admissible to Be Considered at Class Certification

USA - February 8 2022 As we touched on last summer, whether a district court may certify a class action without resolving challenges to the admissibility of fact or…

Allison L. Ebeck, Chelsey Dawson Klein

FINRA’s Important Reminder to Firms—Don’t Forget to Supervise Third-Party Vendors

USA - August 24 2021 Broker-dealers, like most companies, rely on third-party vendors for a wide variety of functions. This common practice of outsourcing does not…

Emily P. Gordy, Cheryl L. Haas, Aline McCullough, Tess Rogers