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Cryptocurrency, News
State AGs Oppose SEC Rule Regulating Cryptocurrency
On May 8, 12 states led by Arkansas Attorney General Tim Griffin sent a letter to the Securities and Exchange Commission (SEC), opposing its recently proposed rule to give the commission the authority to regulate non-securities, including cryptocurrencies. While the current rules give the SEC the authority to regulate investment […]
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Enforcement, News
SEC Halts Alleged Cannabis Fraud Scheme
The SEC obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National Resources Inc. (INR), which does business as WeedGenics, and its owners, Rolf Max Hirschmann and Patrick Earl Williams. The SEC alleges that INR raised more than $60 million from investors to […]
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Enforcement, Private Placements
SEC Charges Silver Edge Financial LLC and Equity Acquisition Company Ltd. with Unregistered Broker-Dealer Activity
On March 3, 2023, the Securities and Exchange Commission (SEC) charged Silver Edge Financial LLC, Equity Acquisition Company Ltd. (EAC), their owners, and sales staff with unregistered broker-dealer activity related to their sales of interests in shares of various pre-IPO companies. In this article, we will discuss the details of […]
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Enforcement, News
SEC Fines OCC $17 Million for Non-Compliance with Stress Testing and Clearing Fund Methodology
The SEC has ordered The Options Clearing Corporation (OCC) to pay $17 million in penalties for violating its SEC-approved Stress Testing and Clearing Fund Methodology rule. The regulatory body found that OCC failed to comply with its own rule during certain times between October 2019 and May 2021. OCC, based […]
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Enforcement
Ensign Peak Advisers and The Church of Jesus Christ of Latter-day Saints Settle SEC Charges
Ensign Peak Advisers Inc., a non-profit entity owned and operated by The Church of Jesus Christ of Latter-day Saints, has settled charges with the Securities and Exchange Commission (SEC) for failing to file required disclosure forms related to the Church’s equity investments. The SEC also announced charges against the Church […]
Recent Posts
Crypto
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SEC Wrong on Crypto
May 9, 2023Crypto lawyer and XRP supporter John Deaton says that the U.S. Securities and Exchange Commission (SEC) is moving in the [...] -
Former Co-Lead Engineer of FTX Trading Charged by SEC for Role in Multiyear Scheme to Defraud Equity Investors
February 28, 2023The Securities and Exchange Commission (SEC) has charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for [...] -
SEC Tightens Cryptocurrency Enforcement
January 22, 2023The SEC continues to make cryptocurrency-related enforcement a top priority under Chair Gary Gensler, bringing 30 enforcement [...]
- SEC Charges 8 in Connection with $45 Million Crypto Fraud
- SBF Borrowed a Half Billion Dollars from his Fund
- BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product
Arbitration
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
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What is FINRA
January 7, 2023Compliance
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SEC Halts Alleged Cannabis Fraud Scheme
May 23, 2023The SEC obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National [...] -
Musk Wants to Stop his ‘Twitter Sitter’ Agreement
May 12, 2023He tried once before and was denied, but Elon Musk has asked a federal appeals court in New York to throw out his 2018 agreement [...] -
HSBC Securities and Scotia Capital Fined $15M and $7.5M Respectively by SEC for Recordkeeping Failures
May 11, 2023On May 11, 2023, the SEC charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for their employees’ longstanding [...]
- Betterment Settles SEC Charges Concerning Tax Loss Harvesting Service
- SEC Charges Charlie Javice, Founder of Frank, with Fraud in Connection with $175 Million Sale to JPMorgan Chase
- SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading
Brokers
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JPMorgan, Ex-Broker Agree to Non-Solicit Truce in TRO Battle
May 19, 2023Less than a week after it filed for a temporary restraining order against a broker who jumped to Morgan Stanley, JPMorgan Chase [...] -
What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
When the SEC Comes Calling – 2023 Update
February 26, 2023The
SEC Subpoenas – Tips for Responding – 2023
February 26, 2023How you respond to an SEC subpoena makes a difference. Tips from an experienced securities [...]Whistleblowers Need Lawyers
February 26, 2023By Mark J. Astarita, Esq. Realizing the importance of assistance and information from an insider of a company, the SEC [...]Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
Whistleblowers
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SEC Awards More Than $12 Million to Two Whistleblowers
May 10, 2023SEC Awards Over $12 Million to Two Whistleblowers for Their Assistance in Successful Enforcement Action March 31, 2023 – [...] -
SEC Awards More Than $12 Million to Two Whistleblowers
April 1, 2023The SEC has announced that it has awarded more than $12 million to two whistleblowers who provided crucial information and [...] -
Whistleblowers Need Lawyers
February 26, 2023By Mark J. Astarita, Esq. Realizing the importance of assistance and information from an insider of a company, the SEC [...] -
Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule
February 4, 2023Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game [...] -
SEC Issues $28 Million Award to Joint Whistleblowers
January 24, 2023The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided [...] -
SEC Awards More Than $5 Million to Whistleblower
January 14, 2023Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower [...]
- SEC Awards More Than $37 Million to Whistleblower
- SEC Awards $20 Million to Whistleblower
- SEC Awards More Than $10 Million to Whistleblower
Investors
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What is a Broker CRD Number
April 13, 2023Introduction A broker’s CRD number is a unique identifier FINRA assigns to each registered person and entity. It’s [...]
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
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Investor Legal Information Center
February 25, 2023Sponsored by Mark J. Astarita, Esq. – representing brokers and investors in securities and employment disputes for over [...]
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What Happens If I Ignore an SEC Subpoena?
January 20, 2023Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
- What is FINRA
- IRS Delays Rule For Reporting Venmo, Etsy, Airbnb Payments
- SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
Corp Finance
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Tips for Going Public
February 24, 2023Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and [...]
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What Happens If I Ignore an SEC Subpoena?
January 20, 2023Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
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SECLaw Primers
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- The Wells Notice SEC/FINRA Investigations
- What is Securities Arbitration?
- Finders Explained – Be Careful
- What is Securities Law?
- Can The SEC Bring Criminal Charges?
- Federal Securities Law, a Securities Lawyer Guide
- Securities Arbitration Overview-2023 Update
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Disclaimer
The information on this website is for general information purposes only and may be considered attorney advertising. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.
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This site was created by Mark J. Astarita, Esq. a New York Securities Lawyer and member of the national securities law firm of Sallah Astarita & Cox, LLC
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