Category: securities fraud

ATTORNEY NEWSLETTER FINRA Arbitration Shuts Down Broker Material Misrepresentations Oftentimes, individuals who invest their money also invest their trust. When they hand over their money, they assume that their broker or financial advisor is going to make decisions that will benefit the investor: personally, financially, and beyond. But what happens […]

Securities and Exchange Commission (SEC) Tips for Whistleblowers What the SEC Looks For The SEC needs your help in tracking down securities fraud. Whistleblowers bring useful information to the SEC that can lead to investigation and prosecution – and a possible reward for the whistleblower’s help. In January of this […]

Securities and Exchange Commission (SEC) Online Help The SEC wants to help the individual investor. Really. In fact, for years the SEC has had an enormous investor outreach initiative to educate and protect folks from fraud. There’s a macro interest: educated investors stabilize markets; they are less prone to unwarranted […]

Securities and Exchange Commission (SEC) Investor Bulletin Recently, the Securities and Exchange Commission (SEC) released an investor bulletin to help individuals in the military make educated decisions when it comes to saving and investing their money. We believe that these tips can help everyone, whether in the military or not.

ATTORNEY NEWSLETTER Investing Is Good. Investing Well Is Better The Securities Exchange Commission Tips for Investing Recently, the Securities and Exchange Commission (SEC) released a few tips to help investors make safer, more informed investments. We thought we should share those with you. 1. Never be afraid of doing a […]

ATTORNEY NEWSLETTER Responsibility Matters: What to Know and How to Do It Whistleblowing Whistleblowing is a difficult topic, often because people are reluctant to do it out of uncertainty or unease or, worse, fear of retaliation. But in many cases it is the responsible course of action when one is […]

ATTORNEY NEWSLETTER SEC Whistleblower Program Awards The Securities and Exchange commission has just doled out it’s second-largest award ever, a whopping $17 million, to a Wall Street employee who provided insider information that helped advance an SEC investigation. Due to the nature of the investigation and the anonymity of the […]

ATTORNEY NEWSLETTER The SEC wants to alert the individuals receiving compensation from insurance companies after natural disasters like hurricanes, floods, oil spills, and fires that they may be targets of investment fraud. This compensation gives rise to investment scams and takes many forms. There are the classic Ponzi schemes where […]

ATTORNEY NEWSLETTER The Securities and Exchange Commission issued guidance this week regarding their whistleblower protections. This reinforced their stance that whistleblowers are protected against retaliation even if they report internally within their company, rather than to the agency, first. The Dodd-Frank Act, which created the SEC whistleblower program, had whistleblower […]

ATTORNEY NEWSLETTER The Securities and Exchange Commission paid out $3 million to a whistleblower who helped the commission crack a complex fraud case. The whistleblower, a company insider, received the third-highest award given by the SEC whistleblower program thus far. The whistleblower’s tip led to related actions, and gave very […]