Law

This archive contains all of the articles, posts and links at the site in the Law category.

securities law
Law

SEC Charges Founder, Digital-Asset Issuer With Fraudulent ICO

The Securities and Exchange Commission today charged a digital-asset entrepreneur and his company with defrauding investors in an initial coin offering (ICO) that raised more than $42 million from hundreds of investors. The SEC’s complaint alleges that from August 2017 to April 2018, Eran Eyal, founder of UnitedData, Inc. d/b/a Shopin, […]

Law

Attorney Barred From Appearing Before SEC

The Securities and Exchange Commission barred a New York-based attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he made false and misleading statements in corporate filings. Pursuant to Section 4C of the Securities Exchange Act of 1934 […]

Securities Law Dictionary

Churning – Definition and Cases

Churning – in a churning claim, the customer alleges that the broker purchased and sold securities solely to generate commissions, without regard to the customer’s investment objectives or goals. In the typical churning case, the customer must prove: 1) that the broker controlled the account; 2) that the trading was […]

Law

Securities Regulations, Statutes, Laws and Rules

Federal Law | Commentary | State Law | The securities regulations and laws in the United States are a complex web of multiple and overlapping statutes and regulations from over 52 different regulatory agencies. Here we have provided links to the major federal statutes and rules. Each state has its own rules, […]