The federal securities laws authorize the SEC, or any officer designated by the SEC, to issue subpoenas requiring a witness to provide documents and testimony under oath. See, Section 19(c) […]
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A temporary restraining order is a court order which prevents a party from taking, or failing to take, a specific action. In the context of securities disputes, these orders are […]
When changing firms, and moving between two firms that are part of the Broker Recruiting Protocol, can the broker take client account numbers with her. We get that question a […]
SEC investigations can be a harrowing experience for the witness as well as the targets. One of the first questions my clients ask when faced with a subpoena from the […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
The Dodd–Frank Wall Street Reform and Consumer Protection Act is a United States federal law that was enacted on July 21, 2010. Enacted as a result of the 2008 financial crisis the Act […]
A permanent injunction is an order which directs that a person or entity refrain from certain activities permanently or to take specific actions.
The final determination in a lawsuit, which ends the lawsuit. It typically contains all of the monetary awards, jury verdict, costs and other final relief, such as permanent injunctions.
Investors who lost money in UBS’ Yield Enhancement Strategy (YES) may be able to recover their losses
Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are a number of registration exemptions. Many exemptions require that […]