The Law of the Financial Markets from Top Securities Lawyers
Saturday, November 15, 2025
Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is a form of alternative dispute resolution […]
The SEC recently issued a concept release inviting public input aimed at refining the regulatory framework for residential mortgage-backed securities (RMBS) and other asset-backed securities (ABS). The move comes amid a prolonged absence of public RMBS offerings and signals the Commission’s interest in reenergizing this market segment. (SEC) Why the […]
$275 Million Fraud Case The U.S. Securities and Exchange Commission (SEC) has filed charges against Ryan Wear, founder of Water Station Management LLC and Creative Technologies, Inc., for orchestrating two Ponzi-like schemes that defrauded investors out of more than $275 million. Alongside Wear, portfolio manager Jordan Chirico faces charges for […]
On June 26, 2025, the Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published new reports and datasets, offering valuable insights into broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). These releases aim to boost transparency and deepen understanding of market dynamics. Here’s a breakdown […]
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 […]
The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference on Emerging Trends in Asset Management on Thursday, June 5, 2025. The conference will bring together a variety of asset… SEC Press Release
How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National Financial Literacy Month Each April, the U.S. Securities and Exchange Commission (SEC), through its Office of Investor Education and Advocacy (OIEA), uses National Financial Literacy Month to spotlight the critical […]
A Ponzi scheme is a fraudulent investment operation. The operator, either an individual or organization, pays returns to its investors from new capital. This capital is paid by new investors. The returns are not from profit earned by the operator. Operators of Ponzi schemes usually entice new investors by offering […]
SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and Exchange Commission (SEC) has announced a six-month extension for compliance with the Investment Company Act “Names Rule” amendments. Originally adopted in September 2023, these amendments aim to prevent misleading fund names that […]
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory Committee, which was established by the Dodd-Frank Wall Street Reform and Consumer Protection Act to help protect investors and improve… SEC Press Release
