Whistleblowers
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SEC Bars Two Individuals from Whistleblower Award Program
October 3, 2021In an unusual move, the SEC barred two individuals from the SEC’s whistleblower award program, each of whom filed hundreds [...] -
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
July 21, 2021The Securities and Exchange Commission today announced an award of nearly $3 million to a whistleblower whose information and [...]
- SEC Awards More Than $1 Million to Whistleblower
- SEC Issues Whistleblower Awards Totaling Nearly $5.3 Million
- SEC Awards Approximately $3 Million to Two Whistleblowers
Arbitration
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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 [...] -
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 [...]
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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 [...]
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
- Typical Customer Arbitration Claims
Brokers
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Here They Come – Trader Settles SEC Charges Regarding “Meme Stocks”
October 4, 2021It didn’t take long for the SEC to target meme stock traders. The SEC filed charges in New Jersey alleging that the [...] -
Oil and Gas Executives Settle SEC Charges of Misleading Investors in More Than a Dozen Oil and Gas Securities Offerings
September 24, 2021The Securities and Exchange Commission today charged Thomas Powell and Stefan Toth, and their entities, Resolute Capital Partners [...] -
Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers
July 5, 2021Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers: The transactions forced clients to pay millions of [...]
- Can a Non-Citizen Be An Accredited Investor?
- What is Blue Sky Law?
- SEC Charges California-Based Fraudster With Selling “Insider Tips”
Compliance
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October 10, 2021
What is a Form 3? The federal securities laws require certain individuals (such as officers, directors, and those that hold [...]
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Here They Come – Trader Settles SEC Charges Regarding “Meme Stocks”
October 4, 2021It didn’t take long for the SEC to target meme stock traders. The SEC filed charges in New Jersey alleging that the [...] -
SEC Charges Portfolio Manager with Using Forged Document to Offer Securities
July 21, 2021Securities and Exchange Commission v. Thomas Nicholas Salzano, 2:21-cv-12189 (D.N.J. filed June 7, 2021) The Securities and [...]
- SEC Obtains $7 Million Judgment and Bar for CEO and Board Chairman
- What is an Exempt Transaction
- What is Blue Sky Law?
Corp Finance
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October 10, 2021
What is a Form 3? The federal securities laws require certain individuals (such as officers, directors, and those that hold [...]
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EDGAR – The SEC Public Company Database
October 9, 2021EDGAR—The Electronic Data Gathering, Analysis, and Retrieval system is a database system used by the SEC that requires all [...] -
Reverse Stock Splits Explained
June 25, 2021New investors are often confused by a reverse stock split. Simply put, a reverse stock split reduces the number of outstanding [...]
