by Wiggin and Dana LLP | Sep 15, 2019
In a settlement announced April 7, 2011, the Securities and Exchange Commission for the first time assessed financial penalties against individual executives for violating customer privacy rules. The SEC imposed the fines on three former brokerage executives of...
by Wiggin and Dana LLP | Sep 15, 2019
Robert Robin Stein of Stamford has been appointed a member of the Connecticut Siting Council (Council) by Governor Dannel P. Malloy (D). Governor Malloy has also nominated Mr. Stein to be Chairman of the Council, a position held by Dan Caruso since 2006. In announcing...
by Wiggin and Dana LLP | Sep 15, 2019
Daniel C. Esty has been appointed the Commissioner of the new Connecticut Department of Energy and Environmental Protection (“DEEP”). At the same time Governor Dannel P. Malloy (D) introduced his appointee for this position he also announced the...
by Wiggin and Dana LLP | Sep 15, 2019
The SEC may soon issue welcome news for hedge fund advisers registering for the first time as investment advisers under the Investment Advisers Act of 1940. According to a recent letter from associate director of the SEC’s Division of Investment Management,...
by Wiggin and Dana LLP | Sep 15, 2019
In an Advisory released in 2009, we reported on the steps taken by the Equal Employment Opportunity Commission (“EEOC”) to embolden its efforts in attacking systemic discrimination in employment, and thus, to continue driving agency focus from individual...
