Whistleblowers
SEC Awards Approximately $3 Million to Two Whistleblowers
June 15, 2021The Securities and Exchange Commission announced an aggregate award of approximately $3 million to two whistleblowers whose [...]
SEC Awards $31 Million to Whistleblowers
May 18, 2021The SEC has announced whistleblower awards to four individuals totaling more than $31 million. In the first order, the SEC [...]SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
April 28, 2021The SEC has announced awards totaling more than $3 million to two whistleblowers in separate enforcement proceedings. In the [...]SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
December 14, 2020The SEC announced an award of more than $300,000 to a whistleblower whose high-quality information and continuing assistance [...]SEC Issues $1.8 Million Whistleblower Award to a Company Outsider
September 29, 2020The Securities and Exchange Commission today announced an award of over $1.8 million to a company outsider, who expeditiously [...]
SEC Adds Clarity, Efficiency and Transparency to Its Successful Whistleblower Award Program
September 23, 2020The Securities and Exchange Commission today voted to adopt amendments to the rules governing its whistleblower program that are [...]
- Whistleblowers Receive $2.5 Million for Detailed Analysis That Led to Successful Actions
- Another Whistleblower Award – $18 Million to Whistleblower
- Another SEC Whistleblower Award – $2 Million
Arbitration
UBS Arbitration Claims Moving Forward
October 6, 2020[glossary_exclude] UBS customers who have lost money in the UBS Yield Enhancement Strategy (UBS YES), and who have filed [...]
New FINRA Expungement Rules Effective in September
August 26, 2020The FINRA CRD system, with its BrokerCheck component, has been a thorn in the side of financial professionals since BrokerCheck [...]
What is Securities Arbitration?
December 13, 2019Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late [...]
FINRA Discovery Guide
May 3, 2019Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might [...]
SDNY Defines Customer under FINRA Rule 12200
April 26, 2019Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes of FINRA [...]
Overview of the Securities Arbitration Process
March 8, 2019Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has represented [...]
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
- Typical Customer Arbitration Claims
Brokers
Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers
July 5, 2021Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers: The transactions forced clients to pay millions of [...]
Can a Non-Citizen Be An Accredited Investor?
June 3, 2021There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are [...]
What is Blue Sky Law?
May 30, 2021The term Blue Sky Law refers to the laws and regulations of the individual states regarding the registration of securities, [...]
- SEC Charges California-Based Fraudster With Selling “Insider Tips”
- Are Advisors Too Expensive?
- Review Your WSPs – Subpoenas are Coming
Compliance
SEC Charges Portfolio Manager with Using Forged Document to Offer Securities
July 21, 2021Securities and Exchange Commission v. Thomas Nicholas Salzano, 2:21-cv-12189 (D.N.J. filed June 7, 2021) The Securities and [...]SEC Obtains $7 Million Judgment and Bar for CEO and Board Chairman
July 21, 2021Securities and Exchange Commission v. Suneet Singal, First Capital Real Estate Investments, LLC, First Capital Real Estate [...]
What is an Exempt Transaction
June 3, 2021As it relates to the United States securities law, an exempt transaction is simply a transaction for which registration is not [...]
- What is Blue Sky Law?
- SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
- Review Your WSPs – Subpoenas are Coming
Corp Finance
Reverse Stock Splits Explained
June 25, 2021New investors are often confused by a reverse stock split. Simply put, a reverse stock split reduces the number of outstanding [...]What is an Exempt Transaction
June 3, 2021As it relates to the United States securities law, an exempt transaction is simply a transaction for which registration is not [...]Can a Non-Citizen Be An Accredited Investor?
June 3, 2021There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are [...]
- What is Blue Sky Law?
- Securities Law Blog Roundup
- General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
