The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. The whistleblower then provided substantial… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
Tag: Securities Law
In the last ten years, hedge fund investor Adam Wyden made his investors 11…
How This Democratic Senator’s Son Made $100 Million In Stocks And Why He Fled To Low Tax FloridaIn the last ten years, hedge fund investor Adam Wyden made his investors 11 times richer by uncovering hidden stock gems. His biggest worry? That his Democratic Senator father will tax his gains […]
SEC Charges Healthcare Company and Its Founder with Multimillion Dollar Fraud
The Securities and Exchange Commission has charged a New Jersey-based healthcare company and its founder with fraudulently raising nearly $4 million from over 130 investors nationwide through the sale of membership units in the company. According to the complaint, since July 2017, Premier Healthcare Solution LLC and its founder, Josiah […]
Faith-Based Investing Makes Up Ground in Gains and Convenience…
Faith-Based Investing Makes Up Ground in Gains and Convenience #securitieslawyer http://feedproxy.google.com/~r/Seclaw/~3/h8MjX4Ws3lI/faith-based-investing-makes-up-ground.html #securitiesattorney #seclaw—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer
SEC Obtains Emergency Relief, Charges Florida Company and CEO with Misappropriating Investor Money and Operating a Ponzi Scheme
The Securities and Exchange Commission today announced that it filed an emergency action and obtained a temporary restraining order and an asset freeze to stop an alleged Ponzi scheme and misappropriation of investor proceeds perpetrated by Melbourne, Florida resident Jonathan P. Maroney through several entities he controls. According to the […]
SEC Charges California-Based Fraudster With Selling “Insider Tips”
The SEC has 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 anonymously and, as such, has often been used to host websites and marketplaces that […]
Are Advisors Too Expensive?
According to a survey conducted by the personal finance website MagnifyMoney, nearly half of U.S. adults think financial advisors are expensive and only for the wealthy, even though almost all who use advisors consider them worth it, according to a new survey. The survey of 1,500 adults found that 30% […]
Three Fallacies Of Wealth Creation, And Three Antidotes
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
End Mandatory Arbitration?
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 | FINRA Unscripted
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