The Law of the Financial Markets from Top Securities Lawyers
Saturday, October 25, 2025
William Galvin, the Massachusetts Secretary of the Commonwealth, has opened an investigation into the use of artificial intelligence by brokers. The investigation aims to understand how brokers use AI in their practices and whether there are any potential risks or issues related to its implementation. The focus is on ensuring […]
The SEC has obtained a temporary asset freeze, restraining order, and other emergency relief against Digital Licensing Inc., doing business as DEBT Box, and 18 other defendants in connection with a fraudulent scheme to sell crypto asset securities to hundreds of U.S. investors that raised approximately $50 million and unspecified […]
Agrees to pay a penalty equal to three times his unlawful profits to settle charges Introduction The SEC filed a complaint against Charles Rustin Holzer, a former broker and family office executive. This comes after Holzer settled charges by the SEC last year related to his trading in options of […]
A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complaints stemming from the sale of structured notes, the performance of which is typically tied to an underlying asset, such as a specific stock or an index like the S&P 500 stock index. According […]
Introduction On August 1, 2023, the Securities and Exchange Commission (SEC) brought charges against Samuel Masucci and entities under his control for allegedly disadvantaging an exchange-traded fund (ETF) they managed and misleading the ETF’s trustees to secure $20 million in rescue financing, thereby avoiding potential bankruptcy. As a result of […]
The SEC’s Allegations The SEC announced charges against Richard Heart, also known as Richard Schueler, and three unincorporated entities under his control: Hex, PulseChain, and PulseX. The charges stem from their involvement in conducting unregistered offerings of crypto asset securities, which garnered over $1 billion in crypto assets from investors. […]
Introduction The Securities and Exchange Commission (SEC) has recently put forth a set of proposed amendments to the rule governing the registration of investment advisers who provide their services through the Internet. These amendments aim to modernize the existing Internet adviser registration rule and ensure that investment advisers can efficiently […]
Damian Williams, the United States Attorney for the Southern District of New York, announced today that EDDY ALEXANDRE was sentenced by U.S. District Judge John P. Cronan to nine years in prison for engaging in commodities fraud. ALEXANDRE was the leader of a purported cryptocurrency and foreign exchange (“forex”) trading […]
The SEC charged Brent Seaman of Naples, Florida, with fraudulently raising approximately $35 million from at least 60 investors through an unregistered securities offering. According to the SEC, Seaman told investors he would use their money to invest in technology companies and to trade currencies and commodities, but instead, he […]
The Securities and Exchange Commission today proposed amendments to the rule permitting certain investment advisers that provide investment advisory services through the internet to register with the Commission. The proposed amendments generally would… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. […]
