Tag: Securities Defense Attorney

digital assets

AI Use Investigated by Gavin

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 […]

Securities and Exchange Commission
Enforcement Primer

Introduction to SEC Investigations

Introduction SEC Investigations, and ultimately SEC enforcement proceedings, can be disruptive, and devastating events for individuals and corporations. Next to hiring an experienced securities defense attorney, knowing what to expect during the investigation will help you achieve your desired result. As former SEC Staff Attorneys, and Securities Defense Attorneys, the attorneys […]


SEC’s OMWI FY 2022 Annual Report Highlights the Agency’s Diversity, Equity, and Inclusion Initiatives and Progress

The Securities and Exchange Commission’s Office of Minority and Women Inclusion (OMWI) today released its Fiscal Year (FY) 2022 Annual Report to Congress. The report summarizes the SEC’s actions and achievements towards promoting diversity, equity,… Read the Full Press Release Have a securities law question? Call New York Securities Lawyers […]