Insights
June 2, 2014
Earlier this month, the SEC secured a huge win in SEC v. Wily , but on the same day the SEC was handed a crushing defeat in a bigger case, SEC v. Graham . Furthermore, a jury in Manhattan on Friday re...
May 30, 2014
On May 15, the SEC filed a complaint against Behrooz Sarafraz in California federal court, alleging that Sarafraz violated federal securities laws by acting as an unregistered broker dealer, selling s...
May 28, 2014
The SEC recently denied a whistleblower claimant a Commission enforcement action award because the claimant did not file the award claim with the SEC’s Office of the Whistleblower timely. The Se...
May 22, 2014
The SEC issued an investor alert warning potential investors of possible scams pertaining to marijuana-related investments, pointing out that fraudsters will often use the latest growth industries to ...
May 21, 2014
Bitcoin is in the news again as the SEC issued an Investor Alert earlier this month in order to warn potential investors of the risks of investing in Bitcoin and other types of virtual currencies. The...
May 20, 2014
FINRA announced recently that it fined Morgan Stanley Smith Barney LLC $5 million for supervisory failures pertaining to the solicitation of retail customers to invest in IPOs, such as Facebook and Ye...
May 16, 2014
FINRA announced recently that the SEC has approved a rule change designed to limit self-trading. FINRA Rule 5210 will require firms to have policies and procedures implemented that are reasonably desi...
May 6, 2014
A couple in Wichita have been left wondering who the industry funded Financial Industry Regulatory Authority (FINRA) was really set up to protect after 2 of the arbitrators placed on list for their ca...
April 25, 2014
The SEC won a freeze on John Babikian’s assets this week. Babikian is a Bugatti-driving 26 year-old from Montreal who operated a “pump-and-dump” scheme using penny-stock websites. He...
April 24, 2014
Bitcoin exchanges may soon be coming to the Empire State, but such exchanges will be subject to strict regulation. The New York State Department of Financial Services (NYSDFS) stated that it will weig...
April 21, 2014
Last week, the SEC filed charges against a San Diego investment advisory firm called Total Wealth Management, its Chief Executive Officer, Chief Compliance Officer, and an investment adviser represent...
April 16, 2014
Should brokers be required to act in the best interest of their clients when providing personalized investment advice, including recommendations about securities, to retail investors? The answer to th...
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