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Promises of Indestructible Wealth

According to the SEC's complaint,  Online videos designed to attract investors to attend investment seminars were posted with such titles…

Barclays Financial Advisers Split, Forming $3 Billion Independent Firm

A half dozen financial advisers from Barclays PLC’s U.S. wealth-management group, including its former head, have left the firm to…

Same-Sex Court Ruling Answers And Creates Questions For Advisors

The Supreme Court's ruling in Obergefell vs. Hodges which permits same-sex marriages across the country is not only a landmark…

Stifel Grabs Advisors With $285M AUM

Recruiting and broker transition continue at Stifel. Today they announced that three advisers, with $285 million AUM joined from Janney…

The Securities Law Letter

The Securities Law Letter is a monthly email newsletter, containing the latest news, commentary, rule proposals and amendments, as well…

SEC Warns of Purported Financial Professionals Using False Credentials to Attract Investors

In a recent blog post at The Securities Law Blog, I warned investors and brokers of the fraudulent use of…

Old Content

Sorry, but you have followed a link to our site that is out dated, and we cannot figure out what…

Apple’s Tim Cook Accuses Facebook and Google of Violating User Privacy

In a blistering speech attacking unnamed Internet Giants, Cook blasted the flagrant invasion of privacy, and stresses Apple as a company…

Piper Jaffray to Host 35th Annual Consumer Conference

Piper Jaffray , a leading investment bank and asset management firm, is scheduled to host its 35th annual Consumer Conference,…

The Securities Law Blog: Be Wary of Famous People Promoting Penny Stocks

The penny stock market has the potential for significant profits, and of course, significant losses. Investing in start-ups and small…