Compliance
-
What Is FINRA
January 20, 2023FINRA is the Financial Industry Regulatory Association and is the successor to the National Association of Securities Dealers. [...] -
SEC Charges Former BlackRock Portfolio Manager with Undisclosed Conflict of Interest
January 5, 2023Jan. 5, 2023 — The Securities and Exchange Commission today charged Randy Robertson, a former BlackRock Advisors, LLC [...] -
SEC Charges 8 in Connection with $45 Million Crypto Fraud
January 5, 2023Jan. 4, 2023 —The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy [...] -
SEC Charges Former SPAC CFO for Orchestrating $5 Million Fraud Scheme
January 4, 2023Jan. 3, 2023 — The Securities and Exchange Commission today announced fraud charges against Cooper J. Morgenthau, the [...] -
SBF Borrowed a Half Billion Dollars from his Fund
December 29, 2022Interesting article from Forbes – SBF borrowed half a billion dollars from his hedge fund to finance a purchase of [...] -
SEC Charges Caroline Ellison and Gary Wang with Defrauding Investors in Crypto Asset Trading Platform FTX
December 22, 2022Dec. 21, 2022 — The Securities and Exchange Commission today charged Caroline Ellison, the former CEO of Alameda Research, [...]
- SEC Charges Former CEO of Biotech Company CytoDyn with Fraud, Insider Trading
- SEC Charges Honeywell with Bribery Schemes in Algeria and Brazil
- SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter
Brokers
-
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
January 26, 2023Jan. 25, 2023 — The SEC today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision [...] -
What Happens If I Ignore an SEC Subpoena?
January 20, 2023Anyone who follows our blog or website knows that the
JPMorgan Seeks Restraining Order For Ariz. Advisor Who Lured $19.8M In Assets
December 17, 2022Your employment agreement is important, you will be held to its terms. And it is negotiable! Plus, with proper planning, [...]SEC Charges Eight Social Media Influencers in $100 Million Stock Manipulation Scheme Promoted on Discord and Twitter
December 17, 2022The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud [...]
SEC Adopts Amendments to Modernize Rule 10b5-1 Insider Trading Plans and Related Disclosures
December 16, 2022On December 14, 2022 the SEC adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure [...]
SEC Proposes Rule to Enhance Competition for Individual Investor Order Execution
December 14, 2022Dec. 14, 2022 — The Securities and Exchange Commission today proposed a rule that would require certain orders of [...]Whistleblowers
-
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
December 19, 2022December 19, 2022 – The Securities and Exchange Commission today announced an award of more than $37 million to a [...] -
SEC Awards $20 Million to Whistleblower
November 28, 2022Nov. 28, 2022 — The Securities and Exchange Commission today announced an award of $20 million to a whistleblower who [...] -
SEC Awards More Than $10 Million to Whistleblower
November 22, 2022Oct. 31, 2022 — The Securities and Exchange Commission today announced an award of more than $10 million to a whistleblower [...] -
$10 Million Award to Whistleblower
November 5, 2022October 31, 2022 – The Securities and Exchange Commission today announced an award of more than $10 million to a [...] -
SEC Awards More Than $16 Million to Two Whistleblowers
August 9, 2022Aug. 9, 2022 — The Securities and Exchange Commission today announced awards of more than $16 million to two whistleblowers [...]
- $6 Million Award to Five Whistleblowers
- SEC Awards $1.25 Million to Whistleblower
- SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
Arbitration
-
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 [...]
-
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
-
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 [...]
-
IRS Delays Rule For Reporting Venmo, Etsy, Airbnb Payments
December 26, 2022New York CNN — Anyone getting paid for their goods and services through apps like Venmo, PayPal or CashApp, or platforms [...] -
SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
November 14, 2022The Securities and Exchange Commission today announced insider trading charges against Ramkumar Rayapureddy, Chief Information [...] -
SEC Adopts Amendments to Modernize Fund Shareholder Reports and Promote Transparent Fee- and Expense-Related Information in Fund Advertisements
October 27, 2022Oct. 26, 2022 —The Securities and Exchange Commission voted today to adopt rule and form amendments to require mutual funds [...] -
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 [...]
- January 2022 Ponzi Schemes
- Securities Enforcement Investigations
- Robo-Adviser Settles SEC Charges of Misleading Investors
Corp Finance
-
SEC Proposes Rule to Prohibit Conflicts of Interest in Certain Securitizations
January 26, 2023Jan. 25, 2023 — The SEC today proposed a rule to implement Section 27B of the Securities Act of 1933, a provision [...] -
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 [...]
-
Regulation CF Equity Crowdfunding
January 9, 2023What is Regulation CF? Regulation CF’s crowdfunding rules are in Section 4(a)(6) of the Securities Act. It allows [...]
Sign Up For Our Newsletter
