Primer

Defending an SEC Investigation
Brokers Enforcement Featured Articles Primer

9 Proven Strategies for Defending an SEC Investigation

In today’s complex regulatory environment, facing an SEC investigation can pose an existential threat for public companies. It also affects private funds, investment advisers, and broker-dealers. The key to mounting a resilient defense lies in early action, clear strategy, and rigorous discipline. I am a securities attorney specializing in regulatory investigations. I’ve outlined nine essential steps to help you defend against SEC scrutiny. These steps will protect your reputation and ensure business continuity.

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Investors Primer

What is a Ponzi Scheme

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 […]

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Securities and Exchange Commission
Enforcement Primer

How SEC Investigations Work: Process, Defense Strategies & Legal Guidance

Introduction -Why an SEC Investigation Demands Strategic Counsel SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive and devastating events for individuals and corporations. Understanding how SEC investigations work, and hiring an experienced securities defense attorney is crucial. Understanding what to expect during the SEC investigation will also help […]

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finra CAT
Primer

FINRA Broker Check

Broker Check was designed as an attempt at transparency and accountability in the world of investments, offering investors a powerful tool to research and evaluate the background and qualifications of brokers and brokerage firms. Often criticized as an invasion of brokers’ rights, containing unsworn and unproven allegations against financial professionals, […]

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FAQ Featured Articles Investors Primer Securities Law Dictionary

What is a Security?

A security is a form of ownership in an entity. While some believe that in order to be a security the instrument must be traded on a market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities

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