The Law of the Financial Markets from Top Securities Lawyers
Thursday, October 2, 2025
Your employment agreement is important, you will be held to its terms. And it is negotiable! Plus, with proper planning, and following the Protocol, you can avoid all of this litigation. Call us first! Securities Lawyer-212.509.6544 – Nationwide Representation of Securities Professionals J.P. Morgan Securities (JPMorgan) is seeking a temporary […]
The Securities and Exchange Commission today announced charges against eight individuals in a $100 million securities fraud scheme in which they used the social media platforms Twitter and Discord to manipulate exchange-traded stocks. According to the SEC, since at least January 2020, seven of the defendants promoted themselves as successful […]
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation issued its 2022 Annual Report to Congress and the Commission. The report details how entrepreneurs and investors are building companies together,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]
On December 14, 2022 the SEC adopted amendments to Rule 10b5-1 under the Securities Exchange Act of 1934 and new disclosure requirements for plans adopted pursuant to the rule to enhance investor protections against insider trading. The amendments include updates to Rule 10b5-1(c)(1), which provides an affirmative defense to insider […]
The Securities and Exchange Commission today proposed amendments that would update the disclosure required under Rule 605 of Regulation NMS for order executions in national market system stocks, which are stocks listed on a national securities exchange.… Read the Full Press Release Have a securities law question? Call New York […]
The Securities and Exchange Commission today proposed to amend certain rules under Regulation NMS to adopt variable minimum pricing increments, or “tick sizes,” for the quoting and trading of NMS stocks, reduce access fee caps for protected quotations,… Read the Full Press Release Have a securities law question? Call New […]
Dec. 14, 2022 — The Securities and Exchange Commission today proposed a rule that would require certain orders of individual investors to be exposed to competition in fair and open auctions before such orders could be executed internally by any trading center that restricts order-by-order competition. Individual investors use marketable […]
Dec. 13, 2022 — The Securities and Exchange Commission today charged Samuel Bankman-Fried with orchestrating a scheme to defraud equity investors in FTX Trading Ltd. (FTX), the crypto trading platform of which he was the CEO and co-founder. Investigations as to other securities law violations and into other entities and […]
The Securities and Exchange Commission today announced fraud charges against Danske Bank, a multinational financial services corporation headquartered in Denmark, for misleading investors about its anti-money laundering (AML) compliance program in its… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. —– […]
The Securities and Exchange Commission today announced charges against global electrification and automation technology company, ABB Ltd, for violations of the Foreign Corrupt Practices Act (FCPA) arising out of a bribery scheme in South Africa. The… Read the Full Press Release Have a securities law question? Call New York Securities […]
