Whistleblowers
SEC Awards Approximately $3 Million to Two Whistleblowers
June 15, 2021The Securities and Exchange Commission announced an aggregate award of approximately $3 million to two whistleblowers whose [...]
SEC Awards $31 Million to Whistleblowers
May 18, 2021SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions
April 28, 2021SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
December 14, 2020SEC 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 [...]
- Whistleblowers Receive $2.5 Million for Detailed Analysis That Led to Successful Actions
- Another Whistleblower Award – $18 Million to Whistleblower
- Another SEC Whistleblower Award – $2 Million
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 [...]
New FINRA Expungement Rules Effective in September
August 26, 2020The
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
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
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?
June 3, 2021There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals [...]
What is Blue Sky Law?
May 30, 2021The term More in this category »
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
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 [...]
Corp Finance
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 [...]
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 [...]
- What is Blue Sky Law?
- Securities Law Blog Roundup
- General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
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