Insights
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 18, 2014
National and State Resources Run a FINRA check on your broker or brokerage firm by clicking here. You can view FINRA Regional Office Locations or click on a state below to view the resources specific ...
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...
April 15, 2014
Last month, the IRS declared that it would consider bitcoins as property and not currency for tax reasons. This came to the pleasant surprise of many Bitcoin proponents who have longed for more federa...
April 14, 2014
The SEC has announced that over half of the private-equity firms it has investigated have charged unjustified expenses and fees to investors without their knowledge. The 2010 Dodd-Frank Act gave the S...
April 10, 2014
On Tuesday, the Governor of Alabama, Robert Bentley, signed legislation extending the statute of limitations for securities fraud and theft by deception to five years from the date the fraud was disco...
April 9, 2014
FINRA issued two new Regulatory Notices recently in order to review rules on an ongoing basis. Regultatory Notice 14-14 requests comments on FINRA’s communications with the public rules, and Reg...
April 8, 2014
Digital currencies, like bitcoin, have become popular as an alternative to cash or more traditional lines of credit. Crypto-currencies can be traded in online exchanges for more conventional currencie...
April 7, 2014
News Corp and its Chairman, Robert Murdoch, avoided a lawsuit last week. U.S. District Judge Paul Gardephe dismissed a suit alleging that News Corp defrauded shareholders by hiding widespread, illegal...
April 4, 2014
Recently, more details on an alleged scheme to conceal the actual financial condition of Dewey & LeBoeuff LLP were uncovered when a judge revealed the identities and statements of former employees...
April 3, 2014
The United States Court of Appeals for the Second Circuit upheld the verdict against Rajat Gupta, the former Managing Director of McKinsey & Company. Gupta was convicted on charges of insider trad...
April 2, 2014
Samuel Wyly, a Texas investor, and the estate of his late brother, Charles, will go to trial this week against the SEC after years of accusations that they engaged in a $550 million fraud. Many believ...
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