Compliance
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SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
October 28, 2022Oct. 26, 2022 — The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing [...] -
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
October 26, 2022Oct. 26, 2022 — The SEC proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit [...] -
SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and [...]
- SEC Proposes New Rules for SPACs, Shell Companies, and Projections
- Morgan Stanley Deferred Comp Claims
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
Brokers
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SEC Adopts Compensation Recovery Listing Standards and Disclosure Rules
October 28, 2022Oct. 26, 2022 — The Securities and Exchange Commission today adopted rules to require securities exchanges to adopt listing [...] -
SEC Proposes New Oversight Requirements for Certain Services Outsourced by Investment Advisers
October 26, 2022Oct. 26, 2022 — The SEC proposed a new rule and rule amendments under the Investment Advisers Act of 1940 to prohibit [...] -
OTC Markets
July 24, 2022The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this [...]
- Morgan Stanley Deferred Comp Claims
- Duties When Processing Transactions for Russian Elites
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
Whistleblowers
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SEC Awards $20 Million to Whistleblower
November 28, 2022Nov. 28, 2022 — The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who [...] -
SEC Awards More Than $10 Million to Whistleblower
November 22, 2022Oct. 31, 2022 — The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower [...] -
$10 Million Award to Whistleblower
November 5, 2022October 31, 2022 – The Securities and Exchange Commission today announced an award of more than $10 million to a [...] -
SEC Awards More Than $16 Million to Two Whistleblowers
August 9, 2022Aug. 9, 2022 — The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers [...] -
$6 Million Award to Five Whistleblowers
April 26, 2022Washington D.C., April 25, 2022 — The Securities and Exchange Commission today announced a total award of $6 million to two [...] -
SEC Awards $1.25 Million to Whistleblower
March 25, 2022The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and [...]
- SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
- SEC Proposed Changes to Two Whistleblower Program Rules
- SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
Arbitration
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Morgan Stanley Deferred Comp Claims
March 30, 2022Morgan Stanley may have violated ERISA rules when it cancelled certain deferred compensation assets for brokers who left the [...] -
What Does a Securities Lawyer Do?
November 24, 2021While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are [...] -
UBS Arbitration Claims Moving Forward
October 6, 2020UBS customers who have lost money in the UBS Yield Enhancement Strategy (UBS YES), and who have filed arbitration claims against [...] -
New FINRA Expungement Rules Effective in September
August 26, 2020FINRA Discovery Guide
May 3, 2019Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might [...]
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Securities Arbitration Overview
March 8, 2019Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
- Typical Customer Arbitration Claims
Investors
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SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
November 14, 2022The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information [...] -
SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements
October 27, 2022Oct. 26, 2022 —The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds [...] -
January 2022 Ponzi Schemes
February 21, 2022From Kathy Bazoian Phelps’ Ponzi Scheme Blo. The reported stories reflect at least 5 new Ponzi schemes worldwide, 3 guilty [...] -
Securities Enforcement Investigations
February 12, 2022SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to [...] -
Robo-Adviser Settles SEC Charges of Misleading Investors
February 10, 2022A robo-adviser is an automated investment tool that uses mathematical algorithms to evaluate the prospects of various investment [...]
- What Does a Securities Lawyer Do?
- What Happens If I Ignore an SEC Subpoena?
- SEC Subpoena, FINRA OTR – What do I do?
Corp Finance
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OTC Markets
July 24, 2022The over-the-counter market is where securities which do not trade on an exchange are traded. Securities traded on the this [...]
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First Steps to Going Public
June 3, 2022Most entrepreneurs ultimately seek to go public, which increases the company’s access to cash, and enhances the status [...]
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SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus and [...]
- Texas School District Settles Fraud Claims in$20 Million Bond Sale
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Duties When Processing Transactions for Russian Elites
