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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…

Five-Year Statute of Limitations Applies to Claims for Disgorgement Brought by the SEC

The Supreme Court ruled [June 5, 2017] that claims for disgorgement brought by the SEC are governed by a five-year…

Markets React to Trump Jr. E-Mails

Major stock indexes swung lower Tuesday after President Donald Trump‘s son released an e-mail exchange that showed him setting up a…

Insight into the FINRA Arbitrator Selection Process

Arbitrator selection has always been one of the most important parts of the arbitration process, and FINRA has strived over…