SEC Subpoenas – Tips for Responding

How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney. Read More

UBS YES Losses?

Investors who lost money in UBS' Yield Enhancement Strategy (YES) may be able to recover their losses Read More

Brokers Say Moving to RIA Was Positive

A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a generally positive… Read More

Recover GPB Capital Losses

After inquiries by the SEC, FINRA and the FBI, GPB Capital has announced significant losses in the value of its investment… Read More

SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses

The SEC has voted to propose rule amendments to improve the information that investors receive regarding the acquisition and disposition… Read More

SEC Charges Sapphire Glass Manufacturer and Former CEO With Fraud

The SEC has charged a New Hampshire-based company and its former CEO with misleading investors about the company’s ability to… Read More

SDNY Defines Customer under FINRA Rule 12200

Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes… Read More

GPB Capital, Brokers Under Fire

Already the focus of inquiries by the SEC and FINRA, the FBI recently made an unannounced visit to the New… Read More

JPMorgan to Pay More Than $135 Million for Improper Handling of ADRS

The SEC announced that JPMorgan Chase Bank N.A. will pay more than $135 million to settle charges of improper handling… Read More

SEC Charges Founder of Online Gaming Company with Fraud

The SEC charged Robert Alexander with fraudulently raising approximately $9 million from more than 50 individuals by selling investments in… Read More

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