Whistleblowers
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 [...]SEC Issues Awards Totaling More Than $15 Million to Two Whistleblowers
November 11, 2021The Securities and Exchange Commission today announced awards of more than $12.5 million and $2.5 million to two whistleblowers [...]SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
October 30, 2021The Securities and Exchange Commission today announced an award of more than $2 million to a whistleblower who provided [...]SEC Awards $11.5 Million to Two Whistleblowers
September 17, 2021he Securities and Exchange Commission today announced awards of approximately $11.5 million to two whistleblowers whose [...]
- SEC Issues Whistleblower Awards Totaling $2.6 Million
- SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
- SEC Issues Whistleblower Awards Totaling More Than $4 Million
Arbitration
What Does a Securities Lawyer Do?
November 24, 2021Types of Securities Lawyers While securities law is itself a specialized field of law, there is also more than one type of [...]
Does Trading on Information Learned About A Competitor Constitute Insider Trading?
August 18, 2021The SEC has been known to attempt to regulate by litigation, a tactic that causes significant problems for their targets, and [...]
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 [...]
Overview of the Securities Arbitration Process
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
Brokers
What Does a Securities Lawyer Do?
November 24, 2021Types of Securities Lawyers While securities law is itself a specialized field of law, there is also more than one type of [...]
What Happens If I Ignore an SEC Subpoena?
November 16, 2021Anyone who follows our blog or website knows that the
Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings
October 19, 2021Credit Suisse Group AG has agreed to pay nearly $475 million to U.S. and U.K authorities, including nearly $100 million to the [...]Compliance
Nikola Corporation to Pay $125 Million to Resolve Fraud Charges
December 22, 2021The SEC has announced that Nikola Corporation, a publicly traded company created through a special purpose acquisition company [...]
SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures
December 19, 2021Rule 10b5-1 formalizes a defense that has always been available to the corporate insider accused of trading on inside information [...]SEC Proposes Rule Amendments to Proxy Rules Governing Proxy Voting Advice
December 5, 2021The Securities and Exchange Commission today voted to propose amendments to its rules governing proxy voting advice. The [...]
- SEC Adopts Amendments to Finalize Rules Relating to the Holding Foreign Companies Accountable Act
- What Happens If I Ignore an SEC Subpoena?
- SEC Modernizes Filing Fee Disclosure and Payment Methods
Corp Finance
SEC Charges Financial Company For Fraudulent Schemes to Boost Stock Price
December 29, 2021The SEC has charged Medallion Financial Corp., a Delaware company headquartered in New York, NY, and its President and Chief [...]SEC Proposes Amendments Regarding Rule 10b5-1 Insider Trading Plans and Related Disclosures
December 19, 2021Rule 10b5-1 formalizes a defense that has always been available to the corporate insider accused of trading on inside information [...]SEC Staff Issues Accounting Guidance on “Spring-Loaded” Compensation Awards to Executives
November 29, 2021The SEC staff released guidance for companies about how to properly recognize and disclose compensation cost for [...]
- SEC Adopts New Rules for Universal Proxy Cards in Contested Director Elections
- What Does a Securities Lawyer Do?
- What Happens If I Ignore an SEC Subpoena?
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