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Kelley Drye & Warren LLP | USA | 20 Apr 2011

FCC takes enforcement action in USF, telemarketing and "junk fax" cases

Last week brought new actions in three of the FCC's most common enforcement areas: Failure to pay USF contributions, "robocall" telemarketing violations and "junk fax" solicitations.


Vedder Price PC | USA | 1 Oct 2009

FINRA settles auction rate securities violations with three firms

On September 2, 2009, FINRA announced that it had entered into final settlement agreements with Northwestern Mutual Investment Services, LLC, City Securities Corporation and Fifth Third Securities to settle charges relating to the sale of Auction Rate Securities ("ARS").

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