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Does Liking a Brand Void Your Right to Sue?
The New York Times has an interesting article on a new twist on mandatory arbitration. General Mills has added language to its website that claims that consumers give up their right to sue the company if they download coupons, “join” it in online...

General Mills Reverses Itself - No Mandatory Arbitration
Reversing a policy that was an abuse of arbitration policy. legally unenforceable and a complete public relations disaster, General Mills has changed its mind, removed its silly mandatory arbitration policy, and has gone back to its original legal...

FINRA is Looking to Hire Compliance Examiners
From their job posting - FINRA is seeking a well qualified individual for our Compliance Examiner opening in Membership Application Program (MAP) of the Member Regulation Department in New York, NY.  To be considered for this position, please...

High Frequency Traders Subpoenaed
New York Attorney General Eric Schneiderman sent subpoenas to six high-frequencytrading firms seeking information about special arrangements they have with exchanges and dark pools as well as their trading strategies, according to a person...

Pyramid Scheme Targeting Immigrants Charged by SEC
The SEC has filed charges against the Massachusetts-based operators of a large pyramid scheme that mainly targeted Dominican and Brazilian immigrants in the U.S. The charges were filed under seal, in connection with the Commission's request for an...

Former BP Employee Charged with Insider Trading During Oil spill
The Securities and Exchange Commission today charged a former 20-year employee of BP p.l.c. and a senior responder during the 2010 Deepwater Horizon oil spill with insider trading in BP securities based on confidential information about the...

Undisclosed Kickbacks Lead to SEC Charges for Investment Advisor
The SEC's Enforcement Division alleges that Total Wealth Management and its owner and CEO Jacob Cooper entered into undisclosed revenue sharing agreements through which they paid themselves kickbacks or so-called "revenue sharing fees." They...

SEC Announces Additional $150,000 Payment to Recipient of First Whistleblower Award
The SEC has announced that the whistleblower who received the first award under the agency's new whistleblower program will receive an additional $150,000 payout after the SEC collected additional funds in the case. The whistleblower, who the SEC...

New Jersey Brokerage Firm Charged in Manipulation
The Securities and Exchange Commission charged the owner of a Holmdel, N.J.-based brokerage firm with manipulative trading of publicly traded stocks through an illegal practice known as "layering" or "spoofing." The SEC also charged the owner and...

Why Bitcoin Entrepreneurs Are Begging for More Regulation
Why Bitcoin Entrepreneurs Are Begging for More Regulation http://pulse.me/s/YJrKd

 

SEC Litigation Releases:

Keith A. Seilhan
SEC Charges Former BP Employee with Insider Trading During the Deepwater Horizon Oil Spill

TelexFree, Inc. et al.
SEC Halts Pyramid Scheme Targeting Dominican and Brazilian Immigrants

Palladino, et al.
Federal Prosecutors Charge Massachusetts Resident with Criminal Contempt Based On Violations of C...

Timothy J. Coughlin, et al.
SEC Charges Indiana Man for Defrauding Investors in “Credit Union” Ponzi Scheme

K2 Unlimited, Inc., 211 Ventures, LLC, Diane Glatfelter, Robert Rice, and Robert Anderson
SEC Obtains Final Judgment Against Defendant in Fictitious Investment Scheme

Richard T. Posey
SEC Charges Carter's, Inc.'s Former Vice-President of Operations with Insider Trading and Tipping

JCS Enterprises, Inc. et al.
SEC, Criminal Authorities Halt Florida Ponzi Scheme Targeting Investors in Virtual Concierge Mach...

CVS Caremark Corp.
SEC Charges CVS with Misleading Investors and Committing Accounting Violations

Matthew D. Sample
SEC Charges Hedge Fund Manager for Defrauding Investors

The Milan Group, Inc., a/k/a The Milan Trading Group, Inc., et al.
SEC Settles with Remaining Defendant in Fictitious Offering

News Stories:
SEC weighs requiring brokers to identify where trades made -Bloomberg
April 19 (Reuters) - The U.S. Securities and Exchange Commission is weighing a proposal that woul...

CORRECTED-UPDATE 1-Rajaratnam's brother loses bid to dismiss insider trading charges
(Corrects the number of counts the judge called "inconsistent" from four to two in 3rd, 16th and ...

Comcast in talks with Charter over divestitures -source
April 19 (Reuters) - Comcast Corp is in talks with Charter Communications over selling or spinnin...

Exchanges, brokerages hit with high-speed trading class action
NEW YORK, April 18 (Reuters) - Dozens of the largest U.S. stock exchanges, brokerages and high-fr...

UPDATE 5-U.S. further delays final decision on Keystone XL pipeline
WASHINGTON, April 18 (Reuters) - The Obama administration further delayed its decision on the con...

UPDATE 1-Rajaratnam's brother loses bid to dismiss insider trading charges
NEW YORK, April 18 (Reuters) - Rengan Rajaratnam, the younger brother of imprisoned hedge fund ma...

Obama-Abe summit seen giving impetus to trade but no deal-official
WASHINGTON, April 18 (Reuters) - Next week's meeting between U.S. President Barack Obama and Japa...

TransCanada CEO "disappointed" with Keystone XL pipeline delay
April 18 (Reuters) - TransCanada Corp Chief Executive Russ Girling said on Friday he was "extreme...

UPDATE 4-U.S. extends Keystone XL comment period, delaying final decision
(Updates with reaction from Hoeven, Landrieu, Harper's office, adds more background)

Rajaratnam's brother loses bid to dismiss insider trading charges
NEW YORK, April 18 (Reuters) - Rengan Rajaratnam, the younger brother of imprisoned hedge fund ma...


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Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial advisor before acting upon the information contained in this article. SECLaw.com was created by and is sponsored by Mark J. Astarita, Esq., a securities attorney and partner in the law firm of Beam & Astarita, LLC, who represents all participants in the financial markets. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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