Whistleblowers
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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 $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
August 27, 2021The Securities and Exchange Commission today announced awards of approximately $2.6 million to five whistleblowers who provided [...] -
SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions
August 6, 2021The Securities and Exchange Commission today announced awards totaling more than $3.5 million to three individuals in two [...] -
SEC Issues Whistleblower Awards Totaling More Than $4 Million
August 3, 2021The Securities and Exchange Commission today announced awards of more than $4 million to four whistleblowers who provided [...]
- SEC Awards Nearly $3 Million to Whistleblower
- SEC Awards More Than $1 Million to Whistleblower
- SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
Arbitration
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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, 2020What is Securities Arbitration?
December 13, 2019Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late [...]
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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
- Overview of the Securities Arbitration Process
- Churned or Traded?
Brokers
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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
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What Happens If I Ignore an SEC Subpoena?
November 16, 2021Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
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SEC Modernizes Filing Fee Disclosure and Payment Methods
October 14, 2021The Securities and Exchange Commission today adopted amendments to modernize filing fee disclosure and payment methods. Operating [...] -
Forms 3, 4 and 5
October 10, 2021What is a Form 3? The federal securities laws require certain individuals (such as officers, directors, and those that hold [...]
- SEC Charges Portfolio Manager with Using Forged Document to Offer Securities
- SEC Obtains $7 Million Judgment and Bar for CEO and Board Chairman
- FINRA Reverses Hearing Panel Decision and Dismisses Complaint against Sallah Astarita & Cox client.
Corp Finance
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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 SEC Enforcement Division is getting tougher on [...]
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SEC Proposes to Enhance Proxy Voting Disclosure by Investment Funds and Require Disclosure of “Say-on-Pay” Votes for Institutional Investment Managers
November 3, 2021The Securities and Exchange Commission today proposed amendments to Form N-PX to enhance the information mutual funds, [...]
- SEC Modernizes Filing Fee Disclosure and Payment Methods
- Forms 3, 4 and 5
- EDGAR – The SEC Public Company Database
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