-
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 […]
Recent Posts
Whistleblowers
-
SEC Issues Awards Totaling $98 Million to Two Whistleblowers
August 23, 2024The SEC‘s Landmark Whistleblower Awards The Securities and Exchange Commission (SEC) recently made headlines by awarding [...] -
Understanding the SEC Whistleblower Program
July 20, 2024A 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, 2024The 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, 2024February 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, 2023Sept. 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, 2023Introduction In a groundbreaking development, the SEC has made history by awarding over $104 million to seven whistleblowers. [...]
- Inside the SEC Whistleblower Office
- SEC Awards More Than $104 Million to Seven Whistleblowers
- SEC Awards More Than $12 Million to Two Whistleblowers
Cryptocurrency
-
SEC Charges Nader Al-Naji with Fraud and Unregistered Offering of Crypto Asset Securities
July 30, 2024Unveiling 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, 2024Two 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, 2024Genesis Global Capital Fined $21 Million for Unregistered Crypto Lending Genesis Global Capital, LLC has been hit with a hefty [...]
- SEC Charges Founder of American Bitcoin Academy Online Crypto Course with Fraud Targeting Students
- SEC Halts Utah-Based Crypto Asset Fraud Scheme Involving 18 Defendants
- Impact Theory Charged by SEC for Unregistered Offering of Crypto Asset Securities
Enforcement
-
Understanding SEC Investigations: Process, Defense, and Legal Tips
July 27, 2024By Mark Astarita, Sallah Astarita & Cox, LLC Introduction
What is Securities Arbitration?
July 20, 2024Securities 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, 2024Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC [...]Arbitration
-
What is Securities Arbitration?
July 20, 2024Securities 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, 2024Mark 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, 2023Washington D.C., Dec. 5, 2023 — In a move towards transparency and investor empowerment, the Securities and Exchange [...]
- Arbitration Claims Filed Against Stifel Broker Chuck Roberts
- Securities Arbitration Overview-2023 Update
- Tips for a Successful Securities Mediation
Featured Articles
-
SEC Charges Multiple Individuals and Entities in Relationship Investment Scams
September 18, 2024By Mark J. Astarita, Esq. SEC Charges in Crypto Fraud Cases: NanoBit and CoinW6 Scams Unveiled Despite my decades of representing [...] -
9 Proven Strategies for Defending an SEC Investigation
July 8, 2024Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC [...] -
Federal Securities Law, a Securities Lawyer Guide
June 20, 2024The SEC, FINRA, the States, and much more Introduction The history of securities regulation and federal securities law is well [...]
- Understanding What is a Security?
- Defending FINRA Investigations
- Securities Arbitration Overview-2023 Update
Search SECLaw.com
Primers
Featured Articles
Disclaimer
The information on this website is for general information purposes only and may be considered attorney advertising. Nothing on this site should be taken as legal advice for any individual case or situation. This information is not intended to create, and receipt or viewing does not constitute, an attorney-client relationship.
Sallah Astarita & Cox – National Securities Arbitration and Litigation Attorneys
Visit The Securities Lawyer
More Blog Posts at The Securities Law Blog
Follow us on Twitter
Follow us on Facebook
For more news and information, visit our companion site The Securities Law Blog