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SEC Issues Awards Totaling $98 Million to Two Whistleblowers

The SEC‘s Landmark Whistleblower Awards The Securities and Exchange Commission (SEC) recently made headlines by awarding over $98 million to two whistleblowers whose information and cooperation led to significant enforcement actions. These payouts demonstrate whistleblowers’ crucial role in upholding financial markets’ integrity. Whistleblower Information Sparks Major Investigations The SEC’s investigations […]
There is no Place Like the US Housing Market

From our friends at New Edge Wealth.. There’s No Place Like the U.S. Housing Market
SEC Charges OTC Link LLC with Failing to File Suspicious Activity Reports

The SEC has announced charges against OTC Link LLC, a New York-based broker-dealer, for failing to file Suspicious Activity Reports (SARs) for over three years. OTC Link has agreed to pay a $1.19 million penalty to settle the charges. Background Broker-dealers like OTC Link are required to file […]
What is Securities Arbitration?

Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
Understanding the SEC Whistleblower Program

A look into the workings of the SEC Whistleblower Program. Is it any surprise that Whistleblowers who are represented by securities attorneys might do better presenting tips than those who are represented by non-securities attorneys? What is the SEC Whistleblower Program? The SEC Whistleblower Program is a vital component […]
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges

Genesis Global Capital Fined $21 Million for Unregistered Crypto Lending Genesis Global Capital, LLC has been hit with a hefty $21 million civil penalty by the Securities and Exchange Commission (SEC). This comes as a settlement to charges that Genesis was involved in the unregistered offering and sale of securities […]
Skechers Settles SEC Allegations Over Undisclosed Executive Perks and Loans

In a landmark settlement, Skechers U.S.A. Inc., the renowned California-based footwear giant, has agreed to pay a $1.25 million civil penalty following charges by the SEC. The SEC’s allegations centered on the company’s failure to adequately disclose certain payments and loans benefiting its executives and their family members. Unveiling Undisclosed […]
Empowering Investors: SEC’s 2024 Law School Summit Promoting Legal Access

The U.S. Securities and Exchange Commission (SEC) is gearing up for an impactful event that promises to highlight the critical need for investor access to legal counsel. The 2024 Investor Advocacy Clinic Summit is set to bring together law students, their professors, SEC staff, and other distinguished guests to delve […]
SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students

The Securities and Exchange Commission (SEC) has stepped forward to address a notable issue. This situation serves as a stark warning for students and investors about the risks of navigating the complex and often murky waters of digital currency investments. The Rise and Fall of a Crypto Education Venture Unveiling […]
SEC Charges Founder of $1.7 Billion “HyperFund” Crypto Pyramid Scheme and Top Promoter with Fraud

Introduction The Securities and Exchange Commission (SEC) has taken legal action against Xue Lee (aka Sam Lee) and Brenda Chunga (aka Bitcoin Beautee) for their roles in the fraudulent crypto asset pyramid scheme, known as HyperFund, which managed to accumulate over $1.7 billion from investors worldwide. The SEC’s charges shed […]

Whistleblowers

SEC Issues Awards Totaling $98 Million to Two Whistleblowers
August 23, 2024
The SEC‘s Landmark Whistleblower Awards The Securities and Exchange Commission (SEC) recently made headlines by awarding [...]
Understanding the SEC Whistleblower Program
July 20, 2024
A look into the workings of the SEC Whistleblower Program. Is it any surprise that Whistleblowers who are represented by [...]
SEC Whistleblower Award: A $37 Million Milestone
July 17, 2024
The SEC has granted over $37 million to a whistleblower. This individual provided previously unknown information to the [...]
Supreme Court Upholds Corporate Whistleblower Protections
February 9, 2024
February 8. 2024 – The U.S. Supreme Court issued a unanimous ruling holding that whistleblowers do not need to prove that [...]
Monolith Resources Settles SEC Charges Violating Whistleblower Protection Rules
September 8, 2023
Sept. 8, 2023 — The Securities and Exchange Commission (SEC) has announced settled charges against Monolith Resources LLC, a [...]
Record-Breaking SEC Whistleblower Awards: $104 Million Rewarded to Seven Individuals
September 4, 2023
Introduction In a groundbreaking development, the SEC has made history by awarding over $104 million to seven whistleblowers. [...]

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Cryptocurrency

SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities
July 30, 2024
Unveiling the Allegations: Fraudulent Crypto Scheme The Securities and Exchange Commission (SEC) has charged Nader Al-Naji with [...]
SEC Missteps in the Debt Box Case
April 28, 2024
Two SEC Attorneys Resign The SEC’s Juridical Blunders The SEC encountered severe criticism following actions perceived as [...]
Genesis Agrees to Pay $21 Million Penalty to Settle SEC Charges
March 20, 2024
Genesis Global Capital Fined $21 Million for Unregistered Crypto Lending Genesis Global Capital, LLC has been hit with a hefty [...]

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Enforcement

Understanding SEC Investigations: Process, Defense, and Legal Tips
July 27, 2024
By Mark Astarita, Sallah Astarita & Cox, LLC Introduction

What is Securities Arbitration?
July 20, 2024
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
9 Proven Strategies for Defending an SEC Investigation
July 8, 2024
Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC [...]

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Arbitration

What is Securities Arbitration?
July 20, 2024
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
What Does a Securities Lawyer Do?
July 8, 2024
Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...]
SEC Investor Advocate’s Recommendations on Arbitration and Index-Linked Annuities
December 5, 2023
Washington D.C., Dec. 5, 2023 — In a move towards transparency and investor empowerment, the Securities and Exchange [...]

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