Compliance
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SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus [...]
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SEC Proposes New Rules for SPACs, Shell Companies, and Projections
March 30, 2022The Securities and Exchange Commission today proposed new rules and amendments to enhance disclosure and investor protection [...]
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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 [...]
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
- Private Fund Reporting Requirements to be Amended
Brokers
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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 [...]
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Duties When Processing Transactions for Russian Elites
March 4, 2022Cybersecurity Risk Management Rules and Amendments Proposed for Registered Investment Advisers and Funds
February 12, 2022The SEC has proposed cybersecurity risk management rules for registered investment advisers, and registered investment [...]
- Securities Enforcement Investigations
- Robo-Adviser Settles SEC Charges of Misleading Investors
- Private Fund Reporting Requirements to be Amended
Whistleblowers
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SEC Awards $1.25 Million to Whistleblower
March 25, 2022The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and [...]
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SEC Issues Awards Totaling Approximately $3 Million to Three Whistleblowers
March 18, 2022March 18, 2022 – the SEC announced three awards totaling approximately $3 million to whistleblowers who provided [...]
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SEC Awards More Than $3.5 Million to Whistleblower
March 8, 2022March 8, 2022 —The Securities and Exchange Commission today announced an award of more than $3.5 million to a [...]
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SEC Issues Awards Totaling More Than $4 Million to Two Whistleblowers
January 10, 2022The Securities and Exchange Commission today announced two awards totaling more than $4 million to whistleblowers who provided [...]
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SEC Awards Over $13 Million To Whistleblower
January 7, 2022The Securities and Exchange Commission today announced an award of more than $13 million to a whistleblower whose information [...]
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SEC Issues Whistleblower Nearly $5 Million Award
December 7, 2021The SEC has announced an award of nearly $5 million to a whistleblower who provided critical information and assistance that [...]
- SEC Issues Whistleblower Awards Totaling Approximately $10.4 Million
- Awards Totaling More Than $15 Million to Two Whistleblowers
- SEC Awards More Than $2 Million to Whistleblower for Successful Related Action
Arbitration
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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 [...]
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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 [...]
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Does Trading on Information Learned About A Competitor Constitute Insider Trading?
August 18, 2021The SEC has been known to attempt to regulate by litigation, a tactic that causes significant problems for their targets, and [...]
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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 [...]
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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 [...]
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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 [...]
- Securities Arbitration Overview
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
Investors
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January 2022 Ponzi Schemes
February 21, 2022Securities Enforcement Investigations
February 12, 2022SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, [...]
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Robo-Adviser Settles SEC Charges of Misleading Investors
February 10, 2022A robo-adviser is an automated investment tool that uses mathematical algorithms to evaluate the prospects of various [...]
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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 [...]
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What Happens If I Ignore an SEC Subpoena?
November 16, 2021Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
- SEC Subpoena, FINRA OTR – What do I do?
- SEC Charges Financial Adviser With Stealing Investor Funds to Pay Off Credit Cards, Buy Gold Coins
- Credit Suisse to Pay Nearly $475 Million to U.S. and U.K. Authorities to Resolve Charges in Connection with Mozambican Bond Offerings
Corp Finance
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First Steps to Going Public
June 3, 2022Most entrepreneurs ultimately seek to go public, which increases the company’s access to cash, and enhances the status [...]
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SEC Announces 2022 Examination Priorities
March 31, 2022March 30, 2022 – The SEC today announced its 2022 examination priorities, including several significant areas of focus [...]
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Texas School District Settles Fraud Claims in$20 Million Bond Sale
March 17, 2022March 16, 2022 — The SEC announced charges, and a settlement of those charges with Crosby Independent School District [...]
- SEC’s 41st Annual Small Business Forum to Impact Capital Raising Policy
- Duties When Processing Transactions for Russian Elites
- SEC Proposes Rule Amendments to Modernize Beneficial Ownership Reporting
