The Law of the Financial Markets from Top Securities Lawyers
Sunday, November 30, 2025
Three Fallacies Of Wealth Creation, And Three Antidotes If you can see through these misperceptions about assets, you can be a better investor. #seclaw #securitiesattorney #securitieslawyer https://www.forbes.com/sites/baldwin/2021/03/20/three-fallacies-of-wealth-creation-and-three-antidotes/ —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
Elizabeth Warren has once again taken up the charge to end pre-dispute arbitration agreements, which she calls “forced arbitration.” I have addressed the topic on numerous occasions and while I am a fan of arbitration, pre-dispute arbitration agreements can be an issue, particularly in consumer cases, such as car rental […]
Year in Review: The 2020 Exam and Risk Monitoring Program http://feeds.finra.org/~r/FINRACompliancePodcast/~3/ZT_Yl82n0tw/year-in-review-the-2020-exam-and-risk-monitoring-program-JcZ_yyzh # #seclaw —– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
The Securities and Exchange Commission has adopted interim final amendments to implement congressionally mandated submission and disclosure requirements of the Holding Foreign Companies Accountable Act (HFCA Act). The interim final amendments will apply to registrants that the Commission identifies as having filed an annual report on Forms 10-K, 20-F, 40-F, […]
In a case involving allegations of affinity fraud, the SEC has charged a New Jersey resident with defrauding investors, most of whom were members of the Orthodox Jewish community, who invested millions based on false claims about investments in real estate. Remember, don’t trust someone with your investments simply because […]
As Stimulus Is Deployed, The S&P 500 Is Buzzing With Rotation Questions This week, $400 billion in direct stimulus payments began flowing into the bank accounts of US households, courtesy of the American Rescue Plan. Any investor must wonder: where will this money go next? #securitiesattorney #securitieslawyer #seclaw https://www.forbes.com/sites/michaelcannivet/2021/03/19/as-stimulus-is-deployed-the-sp-500-is-buzzing-with-rotation-questions/ —– […]
The Securities and Exchange Commission today announced it filed charges and obtained an asset freeze and other emergency relief to stop an alleged offering fraud and misappropriation of investor assets orchestrated by Colorado Springs resident Tra Jay Scarlett using two entities under Scarlett’s control, Chatfield PCS Ltd. (Chatfield) and GO […]
The Securities and Exchange Commission today charged James Roland Jones of Redondo Beach, California, with perpetrating a fraudulent scheme to sell what he called “insider tips” on the dark web. The dark web allows users to access the internet… Read the Full Press Release Have a securities law question? Call […]
I Don’t Know If The Market Will Crash, But If It Does, You Need Not Follow It Down Will the stock market crash? Darned if I know. But I do know that you are a decision-making investor, not an index. So you don’t have to follow it all the way […]
The Surprise Investors Who Scored Billions From Coupang’s IPO Clay Christensen’s low-profile family firm and a history-making woman investor at SoftBank are among the big winners of South Korea’s answer to Amazon. #seclaw #securitiesattorney https://www.forbes.com/sites/alexkonrad/2021/03/15/rose-park-softbank-big-winners-in-coupang-ipo/—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
