The Securities Exchange Commissioner Warns Ponzi Schemes Using Virtual Currencies

Stockbroker Law - Wednesday, October 25, 2017
The Securities Exchange Commissioner Warns Ponzi Schemes Using Virtual Currencies

In a recent Investor Alert, the Office of Investor Education and Advocacy of the Securities Exchange Commission issued warnings to investors about eme ..

Read More

Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert

Stockbroker Law - Wednesday, October 18, 2017
Don't Get Bit By Initial Coin Offerings - FINRA Issues Investor Alert

In an Investor Bulletin entitled “Initial Coin Offerings” the United States Securities and Exchange Commission warned investors about  ..

Read More

FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance

Stockbroker Law - Wednesday, October 04, 2017
FINRA Addresses RegTech and Technology Enabled Transformation of Regulatory Compliance

At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms  ..

Read More

Recent

Blog Posts

Blog Post

Archive

Investment & Broker
Misconduct

Investment Misconduct

Whistleblowers
 

Whistleblowers

Private Company
Disputes

Private Company Disputes

Personal
Injury

Personal Injury