The Law of the Financial Markets from Top Securities Lawyers
Wednesday, October 1, 2025
A new article from the Securities and Exchange Commission is directed at investors and makes a couple of great points. Day trading is serious business and not something you just dabble in for fun, particularly if you are using leveraged investment strategies or trading leveraged products. Day trading involves actively […]
Back in December 2019 UBS lost an arbitration case brought by Mark Munizzi, a former UBS regional compliance officer in Chicago, whom the wirehouse fired in 2018. His claim was based on his allegations UBS defamed him with the language it put on his U5 form filed with the Central […]
The Securities and Exchange Commission today announced settled charges against S&P Dow Jones Indices LLC for failures relating to a previously undisclosed quality control feature of one of its volatility-related indices, which led S&P DJI to… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission today announced an award to a whistleblower totaling more than $28 million in connection with an SEC enforcement action and a related action by another federal agency. The whistleblower’s information caused… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission has charged a New Jersey-based healthcare company and its founder with fraudulently raising nearly $4 million from over 130 investors nationwide through the sale of membership units in the company. According to the complaint, since July 2017, Premier Healthcare Solution LLC and its founder, Josiah […]
Artificial Intelligence Selects Activision Blizzard As A Thematic Stock Highlight This Week —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
The SEC has announced whistleblower awards to four individuals totaling more than $31 million. In the first order, the SEC awarded almost $27 million to two claimants who provided SEC staff with new information and assistance during an existing investigation, including meeting with the staff in person on multiple days. […]
Faith-Based Investing Makes Up Ground in Gains and Convenience #securitieslawyer http://feedproxy.google.com/~r/Seclaw/~3/h8MjX4Ws3lI/faith-based-investing-makes-up-ground.html #securitiesattorney #seclaw—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Trading Stock Tips on TikTok, Newbies Are Deeply Invested in Learning #securitieslawyer —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
The SEC charged eight companies for failing to disclose in SEC Form 12b-25 filings that their request for seeking a delayed quarterly or annual reporting filing was caused by an anticipated restatement or correction of prior financial reporting. The violations were uncovered by an initiative focused on Form 12b-25 filings […]
