Whistleblowers
SEC Awards More Than $300,000 to Whistleblower with Audit Responsibilities
December 14, 2020The SEC announced an award of more than $300,000 to a whistleblower whose high-quality information and continuing assistance [...]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 [...]Another Whistleblower Award – $18 Million to Whistleblower
April 29, 2020The SEC awarded more than $18 million to a whistleblower whose significant information prompted an examination that resulted in [...]New SEC Whistleblower Awards
January 24, 2020The SEC whistleblower program has generated significant awards to individuals who provide original information that leads to [...]
Arbitration
End Mandatory Arbitration?
March 25, 2021Elizabeth Warren has once again taken up the charge to end pre-dispute arbitration agreements, which she calls “forced [...]
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 [...]
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 FINRA [...]
- Overview of the Securities Arbitration Process
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
Brokers
SEC Charges California-Based Fraudster With Selling “Insider Tips”
March 29, 2021The SEC has charged James Roland Jones of Redondo Beach, California, with perpetrating a fraudulent scheme to sell what he called [...]
Review Your WSPs – Subpoenas are Coming
February 16, 2021The authority to open SEC investigations, and therefore to issue subpoenas, was expanded under the Obama Administration to the [...]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 [...]
- Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
- Introduction to Regulation Best Interest
- This is Your Life – Your CRD Record
Compliance
Review Your WSPs – Subpoenas are Coming
February 16, 2021The authority to open SEC investigations, and therefore to issue subpoenas, was expanded under the Obama Administration to 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 [...]
Regulation Best Interest (Regulation BI) Compliance Due June 30, 2020
June 11, 2020Compliance with Regulation Best Interest (Regulation BI) and Form CRS is due on June 30, 2020 for all registered broker-dealers [...]
- How Long Does an SEC Investigation Take?
- The Wells Notice SEC/FINRA Investigations
- Recent FINRA Rule Filings
Corp Finance
General Electric Agrees to Pay $200 Million Penalty for Disclosure Violations
December 9, 2020General Electric Co. (GE) has agreed to pay a $200 million penalty to settle charges for disclosure failures in its power and [...]NASAA Objects to Finder Change
November 18, 2020From JD Supra’s post from the California Corporate and Securities Law Blog: The North American Securities [...]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
- Congress Still Trading On Non-Public Information?
- SEC’s Fast Answers – Rule 504
