The Law of the Financial Markets from Top Securities Lawyers
Monday, February 16, 2026
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. […]
The Securities and Exchange Commission today proposed new rules that would require broker-dealers and investment advisers (collectively, “firms”) to take certain steps to address conflicts of interest associated with their use of predictive data… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at […]
The Securities and Exchange Commission today adopted rules requiring registrants to disclose material cybersecurity incidents they experience and to disclose on an annual basis material information regarding their cybersecurity risk management, strategy… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers at 212-509-6544. Sallah […]
The Securities and Exchange Commission today charged investor Joseph C. Lewis for illegally tipping material nonpublic information to his then-girlfriend, Carolyn W. Carter, as well as his two private pilots, Patrick J. O’Connor and Bryan L. Waugh, so… Read the Full Press Release Have a securities law question? Call New […]
