School Law

Stockbroker Law - Tuesday, May 17, 2016
School Law

School principals and administrators often take it upon themselves to investigate and prosecute cheating scandals that don’t exist. In this day and age of advanced information technology capabilities both students on the one side, and administrators and prosecutors on the other side, have many options for researching, copying and sharing educational and testing materials in ways that simply weren’t available a generation ago. Oftentimes the clearly innocent and earnest efforts of students are seeking to learn and prepare for testing on route to the college of their choice are faced with the various studying resources freely available on the internet. At the same time, school administrators have failed to keep up with these resources and have failed to provide proper written policies, procedures and guidance to diligent students merely seeking to get ahead. 


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Top Investors Threats Announced By NASAA

Stockbroker Law - Tuesday, May 10, 2016
Top Investors Threats Announced By NASAA

The North American Securities Administrators Association (NASAA) recently announced its annual list of top investor threats after a survey of state securities regulators, identifying the five most problematic investment products, schemes and tricks as follows: 


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The North American Securities Administrators Association (NASAA) Protecting the Investing Public

Stockbroker Law - Tuesday, May 03, 2016
The North American Securities Administrators Association (NASAA) Protecting the Investing Public

The North American Securities Administrators Association (NASAA) maintains an investor education resource on its website designed to protect the investing public from investment schemes and victimization in the financial markets. The frequently posted investor alerts and tips are designed to inform the average investor of storm clouds ahead of the financial markets and traps to avoid financial victimization. 


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Broker Rights in Promissory Note and Forgivable Loan Cases

Stockbroker Law - Tuesday, April 26, 2016
Broker Rights in Promissory Note and Forgivable Loan Cases

Brokerage firms have used forgivable loan and promissory note agreements as inducements to either hire new brokers and/or compel their current brokers to keep their book of business with their firms. Notably, these agreements oftentimes include overreaching covenants not to compete and/or covenants not to solicit, with which firms seek to compel, restrain and handcuff brokers from leaving their firms. 


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Follow Up: SEC Issues Report on Definition of Accredited Investor

Stockbroker Law - Thursday, April 21, 2016
Follow Up: SEC Issues Report on Definition of Accredited Investor

On December 18, 2015 the Securities Exchange Commission issued a comprehensive report including the clarification of the definition of Accredited investor. The financial markets have seen an explosion of the sale of Regulation D private placement type investments to unsuspecting investors who are oftentimes tricked into being convinced or otherwise representing that they are in fact accredited investors. Unscrupulous brokers engage in this trickery in order to push speculative and illiquid, private placement type investments, oftentimes including the purchase of an interest in an operating business enterprise or operating company. 


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