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Tips for Responding to an SEC Subpoena

Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is…

Why advisors will feel freer to make career moves in 2018

Many financial advisers are shaking off the uncertainties of 2017 and getting ready to consider making the moves that they…

FINRA Hearing Panel Dismisses Charges against Registered Rep.

In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying…

Overseas Stock Manipulator Settles SEC Charges

The Securities and Exchange Commission today announced that an overseas stock manipulator has agreed to pay nearly $800,000 and be…

SEC Files Fraud Charges Against Brokers Targeting Federal Retirees

Elder fraud is becoming a significant concern of regulators, and firms. As the older population grows, so do the issues…

Wells Fargo Huge Data Breach – Lessons for Firms and Their Lawyers

Wells Fargo Huge Data Breach - Lessons for Firms and Their Lawyers Multiple news sources are now reporting that Wells…

Attorney Barred From Appearing Before SEC

The Securities and Exchange Commission barred a New York-based attorney from appearing or practicing before it and acting as an…

Record SEC Award Expected for JPMorgan Whistleblowers

The SEC is expected to present the largest whistleblower award in its history – possibly $70.6 million or more to…

Not All Trial Lawyers Can Handle All Kinds Of Trials

I am a trial lawyer, a litigator, and have been at it for over 30 years. While I have represented…

Hearing Hearing 

Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some…