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News
New Lawsuit Alleging That Solana Is A Security Could Have Big Implications For The Crypto Investment Landscape
Yesterday we posted about the SEC insider trading case which is attempting to claim that crypto assets are securities and trading on material, non-public information regarding them violates the federal securities laws. SEC Files First Crypto Insider Trading Case, But the Trading Doesn’t Involve a Security Today we learned of […]
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Enforcement, News
SEC Files Multiple Insider Trading Actions Originating from the Market Abuse Unit
Parallel Criminal Proceedings Filed for Each Case July 25, 2022 — The Securities and Exchange Commission today filed insider trading charges against nine individuals in connection with three separate alleged schemes that together yielded more than $6.8 million in ill-gotten gains. Those charged include a former chief information security officer […]
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News
SEC Charges Former Congressman with Insider Trading
Stephen Buyer allegedly used inside information to buy $1.5 million in stocks. Criminal case pending as well July 25, 2022 – The Securities and Exchange Commission today filed insider trading charges against Stephen Buyer, a former U.S. Representative for Indiana’s 4th Congressional District. According to the SEC’s complaint, after leaving […]
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Enforcement
FINRA Bars Two For Cheating on Exam
Really? You are in an industry that requires honesty and integrity, and you cheat on a qualification exam? Maybe the fact that it was administered remotely made it seem less serious, but really, if you can’t pass the exam without cheating, you need to find another career. These two don’t […]
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Cryptocurrency, Enforcement
Cryptomining and Trading Scheme Charged
Washington D.C., May 6, 2022 — The Securities and Exchange Commission today announced fraud charges against MCC International Corp. (MCC), which does business as Mining Capital Coin Corp., its founders Luiz Carlos Capuci, Jr. (aka Junior Caputti or Capuci) and Emerson Souza Pires (Pires), and two other entities controlled by […]
Recent Posts
Compliance
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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 [...] -
SEC Proposes New Rules for SPACs, Shell Companies, and Projections
March 30, 2022The Securities and Exchange Commission today proposed new rules and amendments to enhance disclosure and investor protection in [...] -
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 [...]
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
- Private Fund Reporting Requirements to be Amended
Brokers
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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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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 [...] -
Duties When Processing Transactions for Russian Elites
March 4, 2022AdvisorHub is reporting that FINRA issued an alert on Friday warning about the compliance obligations triggered due to sanctions [...]
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
- Securities Enforcement Investigations
- Robo-Adviser Settles SEC Charges of Misleading Investors
Whistleblowers
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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
March 18, 2022March 18, 2022 – the SEC announced three awards totaling approximately $3 million to whistleblowers who provided [...] -
SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
January 10, 2022The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided [...] -
SEC Awards Over $13 Million To Whistleblower
January 7, 2022The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information and [...] -
SEC Issues Whistleblower Nearly $5 Million Award
December 7, 2021The SEC has announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that led [...] -
SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
November 22, 2021The Securities and Exchange Commission today announced awards totaling approximately $10.4 million to several whistleblowers who [...]
- Awards Totaling More Than $15 Million to Two Whistleblowers
- SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
- SEC Awards $11.5 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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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?
November 24, 2021While securities law is itself a specialized field of law, there is also more than one type of securities lawyer. There are [...] -
What Happens If I Ignore an SEC Subpoena?
November 16, 2021Anyone who follows our blog or website knows that the More in this category »
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
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Search
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