The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
The CoinBase Wells Notice is creating quite a stir. My original comments are here, but more information has come to light. It appears from other comments that the CoinBase Lend program is not simply a loan by depositors to others. According to other posts, CoinBase is planning on pooling the […]
How One RIA Finds Solutions To Minimize Tax Issues For The Wealthy: Fred Hubler of Creative Wealth Management Group in Pennsylvania said advisors need to specialize to succeed. The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah […]
Coinbase, the cryptocurrency platform, has received a Wells Notice from the SEC regarding its lending program. At first blush it does not appear that the program, which allows customers to lend their currency is a security, but we have not seen the SEC’s files, so anything is possible. Coinbase has […]
The Securities and Exchange Commission today announced awards of approximately $2.6 million to five whistleblowers who provided information and assistance in three separate enforcement proceedings. In the first order, the SEC awarded approximately $1.2 million to a whistleblower who provided valuable independent analysis based upon a complex algorithm the whistleblower […]
An investment advisor based in New York and Santa Fe, N.M., has been charged with swindling dozens of clients out of more than $8 million by recommending investments in a fund he controlled and then transferring the assets out to pay for personal expenses. The U.S. Attorney’s Office for the […]
You cannot trade on material, non-public information, and that includes non-public information concerning the growth in your employer’s subscriber base or information contained in unpublished earnings releases. And if you do, you will undoubtedly be caught, and subjected to some very harsh penalties. Fines, a return of three times the […]
The SEC has been known to attempt to regulate by litigation, a tactic that causes significant problems for their targets, and undermines the integrity of the SEC’s mission. Insider Trading of a Competitor’s Stock? Last week the SEC charged a former employee of Medivation Inc. with insider trading in advance […]
The Securities and Exchange Commission announced awards of nearly $6 million to two whistleblowers who provided information and assistance in separate enforcement proceedings. In the first order, the SEC awarded more than $3.5 million to a whistleblower who reported valuable new information that caused the SEC to expand an existing […]
Poloniex was a web-based trading platform for digital assets, some of which the SEC claimed were investment contracts, and therefore securities. The SEC also claimed that the trading platform was an exchange under the securities laws. The SEC filed charges which Poloniex settled. The order confirming the settlement finds that […]
The Securities and Exchange Commission today announced an emergency action charging nine individuals, including a public company chairman, for their participation in long-running fraudulent schemes that collectively generated hundreds of millions of dollars from unlawful stock sales and caused significant harm to retail investors in the United States and around […]
