Whistleblowers
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SEC 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 are [...] -
Whistleblowers Receive $2.5 Million for Detailed Analysis That Led to Successful Actions
September 1, 2020The Securities and Exchange Commission today announced an award of over $2.5 million to joint whistleblowers whose tip based [...]
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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Firm Fined For Lax Text Message Storage
November 14, 2020Broker-dealers are required to store and preserve all communications sent and received by their brokers for a period of three [...] -
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 [...] -
Firm Settles Charges of Defrauding Investors, Refunds Allegedly Ill-Gotten Gains
August 14, 2020The Securities and Exchange Commission today announced that SCF Investment Advisors, Inc. (SCF) has agreed to settle charges that [...]
- Interactive Brokers With Failing to File Suspicious Activity Reports
- Whistleblowers Need Lawyers
- SEC Subpoenas – Tips for Responding
Corp Finance
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NASAA Objects to Finder Change
November 18, 2020From JD Supra’s post from the California Corporate and Securities Law Blog: The North American Securities [...] -
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
- SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
- Bitcoin Fraud On the Rise
