Whistleblowers
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
September 1, 2020The Securities and Exchange Commission today announced an award of over $2.5 million to joint whistleblowers whose tip based [...]
- Another Whistleblower Award – $18 Million to Whistleblower
- Another SEC Whistleblower Award – $2 Million
- New SEC Whistleblower Awards
Arbitration
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, 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
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”
March 29, 2021The SEC has charged James Roland Jones of Redondo Beach, California, with perpetrating a fraudulent scheme to sell what he called [...]
- Are Advisors Too Expensive?
- Review Your WSPs – Subpoenas are Coming
- New FINRA Expungement Rules Effective in September
Compliance
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?
May 30, 2021The term Blue Sky Law refers to the laws and regulations of the individual states regarding the registration of securities, [...]SEC Charges S&P Dow Jones Indices for Failures Relating to Volatility-Related Index
May 21, 2021The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures [...]
- Review Your WSPs – Subpoenas are Coming
- Firm Settles Charges of Defrauding Investors, Refunds Allegedly Ill-Gotten Gains
- Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
Corp Finance
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?
May 30, 2021The term Blue Sky Law refers to the laws and regulations of the individual states regarding the registration of securities, [...]
- General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
- NASAA Objects to Finder Change
- Accredited Investor Definition
