Whistleblowers
- SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions
- Another Whistleblower Award – $18 Million to Whistleblower
- New SEC Whistleblower Awards
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, 2020The FINRA CRD system, with its BrokerCheck component, has been a thorn in the side of financial professionals since BrokerCheck [...] -
Court Orders Arbitration of Coin Offering Claims
August 20, 2020A California federal judge has sided with the issuers of a gaming-related initial coin offering, saying that despite arguments [...]
- What is Securities Arbitration?
- GPB Capital Investigations Heat Up
- UBS Ordered to Pay Broker $1.6 Million
Brokers
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Expungement Rules Changing
August 26, 2020[...] -
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 BrokerCheck [...] -
Court Orders Uber to Classify Drivers as Employees
August 11, 2020In a ruling that may impact the independent BD model, as least in California, Uber and Lyft were ordered by a California court to [...]
- Interactive Brokers With Failing to File Suspicious Activity Reports
- Whistleblowers Need Lawyers
- SEC Subpoenas – Tips for Responding
Compliance
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Undisclosed Paid Promotions Result in SEC Charges
October 5, 2020Promoting a security without disclosing that you are being paid to do so is unlawful “touting” and violates the [...] -
Interactive Brokers With Failing to File Suspicious Activity Reports
August 10, 2020Every securities broker is required, by law, to file a report of any suspicious transaction relevant to a possible violation of [...] -
Whistleblowers Need Lawyers
August 1, 2020There have been many developments in securities whistleblower rulings over the years, but none as compelling as Justice [...]
- SEC Subpoenas – Tips for Responding
- Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
- How Long Does an SEC Investigation Take?
Corp Finance
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Digital Asset Scam Alert
March 24, 2020The Securities and Exchange Commission today announced that it has obtained an asset freeze and other emergency relief to halt an [...] -
UBS YES Losses?
July 8, 2019Investors who lost money in UBS' Yield Enhancement Strategy (YES) may be able to recover their [...] -
Accredited Investor Definition
July 4, 2019Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are [...]
- SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
- Bitcoin Fraud On the Rise
- Congress Still Trading On Non-Public Information?
