The Law of the Financial Markets from Top Securities Lawyers
Thursday, October 2, 2025
Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower whose information led to a successful SEC enforcement action. The whistleblower provided a tip and additional information that helped SEC staff shape its investigative strategy, identify witnesses, and draft document […]
The Securities and Exchange Commission today announced that Renee Jones, Director of the Division of Corporation Finance, will depart the agency to return to her faculty position at Boston College Law School, effective Feb. 3, 2023. Erik Gerding,… Read the Full Press Release Have a securities law question? Call New […]
The Securities and Exchange Commission today charged Genesis Global Capital, LLC and Gemini Trust Company, LLC for the unregistered offer and sale of securities to retail investors through the Gemini Earn crypto asset lending program. Through this… Read the Full Press Release Have a securities law question? Call New York […]
The Securities and Exchange Commission today announced that Paul Munter has been appointed Chief Accountant. He has served as Acting Chief Accountant since January 2021. As Chief Accountant, Mr. Munter will continue to lead the Office of the Chief… Read the Full Press Release Have a securities law question? Call […]
The Securities and Exchange Commission today announced the appointment of Cristina Martin Firvida as Director of the Office of the Investor Advocate, effective Jan. 17, 2023. Ms. Martin Firvida was most recently the Vice President of Financial Security… Read the Full Press Release Have a securities law question? Call New […]
an. 9, 2023 — The Securities and Exchange Commission today charged Stephen J. Easterbrook, former CEO of McDonald’s Corporation, with making false and misleading statements to investors about the circumstances leading to his termination in November 2019. McDonald’s also was charged for shortcomings in its public disclosures related to Easterbrook’s […]
What is a Control Person? A control person is an entity or individual who has the power to influence, direct, or control the activities of a publicly traded company. Control persons can be directors, officers, shareholders, affiliates, or any other person with authority over the public company’s management and operations. […]
Over the years the courts have been limiting, if not outright striking, non-compete agreements which prohibit employees from working in their chosen profession for a period of time or in a geographic area. Those agreements can be extremely harmful to the employee, and limit competition in the markets. The reality […]
Finra Panel Orders Fidelity To Pay Ex-Broker $500K In Defamation Case: The panel also ruled that the records of termination are to be expunged.
Jan. 5, 2023 — The Securities and Exchange Commission today charged Randy Robertson, a former BlackRock Advisors, LLC portfolio manager, for failing to disclose a conflict of interest arising from his relationship with a film distribution company in which the fund he managed for BlackRock invested millions of dollars. To […]
