Insights
October 21, 2014
The U.S. Supreme Court decided yesterday that it would not hear appeals from two former senior executives of Duane Reade Inc. The appeals follow the executives’ 2010 securities fraud convictions...
October 16, 2014
The SEC adopted a rule that will allow securities arbitrators to immediately disclose frauds that have the potential to threaten the investing public when they learn of such frauds in the midst of a c...
October 14, 2014
Robert Dane Freeman, a former investment advisor from Flat Rock, North Carolina, was arrested and arraigned last week, having been alleged to be a co-conspirator in a securities fraud. Freeman is bein...
October 10, 2014
Dennis F. Wright, an ex-AXA Equitable Life Insurance Co. agent who pleaded guilty to related criminal charges last month, will pay $2 million to settle his case with the SEC. Wright is alleged to have...
October 7, 2014
Jeffrey B. Bland, a businessman from Albuquerque, New Mexico, was indicted last week on felony charges for allegedly stealing $229,000 from an elderly Alamogordo, New Mexico investor. An Otero County,...
September 25, 2014
Earlier this week, the SEC announced that it anticipates awarding more than $30 million to a whisteblower who furnished critical information that ultimately resulted in a successful enforcement action...
September 22, 2014
Last week, U.S. Magistrate Judge Amos Mazzant, a federal judge in Texas, ordered Bitcoin Savings and Trust and its owner, Trendon Shavers, to pay $40.7 million after the SEC proved that the company, w...
September 15, 2014
FINRA issued a new investors alert, this time warning investors considering funds that invest in frontier markets to take note of the large risk associated with these markets. Although no set definiti...
September 5, 2014
The United States Court of Appeals for the second circuit ruled this week that a forum-selection clause in Goldman Sachs and Citigroup contracts preempts their responsibility under FINRA rules to arbi...
September 4, 2014
Earlier this week, the SEC charged a Houston financial adviser with fraud for failing to disclose to clients that it was profiting from a broker investing their money in mutual funds recommended by th...
August 29, 2014
Attorneys for Samuel Wyly and the estate of Charles Wyly, who were found liable for using a network of offshore trusts to conceal stock holdings in illegal trading, claim that they cannot pay the $728...
August 25, 2014
Heidi Ann Gamer was charged last week by the SEC with operating a $771,900 offering fraud involving two companies, one of which was based in Atlanta, Georgia. Gamer’s victims included people who...
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