The Law of the Financial Markets from Top Securities Lawyers
Friday, May 17, 2024
The Securities and Exchange Commission (SEC) has charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for his involvement in a multiyear scheme to defraud equity investors in FTX, a crypto trading platform that Singh co-founded with Samuel Bankman-Fried and Gary Wang. The scheme allegedly involved diverting […]
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
When the SEC Comes Calling – 2023 Update By Mark J. Astarita, Esq. WHILE BROKERS OFTEN BECOME upset or even angry when they are named in customer arbitration, nothing strikes fear in the hearts of licensed individuals as much as receiving an SEC subpoena or a FINRA 8210 request. The […]
By Mark J. Astarita, Esq. Navigate the SEC whistleblower process with our comprehensive guide. Learn how to report financial misconduct confidently and protect your identity. A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector. The SEC whistleblower […]
Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and opportunities, such as access to new capital, increased visibility, and enhanced credibility. However, the process of going public can be quite complex and challenging. In this article, […]
Feb. 24, 2023 — The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on March 2 at 10:00 a.m. ET. The meeting will be webcast on the SEC website. The committee will host three panels to discuss: Growth of Private Markets relative to the Public […]
The Securities and Exchange Commission has charged media and entertainment company Ozy Media Inc. and its executives with defrauding investors of approximately $50 million through misrepresentations regarding the company’s financial condition, business relationships, and fundraising efforts. The CEO of Ozy Media, Carlos R. Watson, Jr., the former COO Samir Rao, […]
The Securities and Exchange Commission (SEC) and the U.S. Attorney’s Office for the Southern District of New York have jointly charged Andrew Stiles and Gray Stiles with insider trading. Andrew Stiles is accused of trading Kodak and Novavax stocks based on nonpublic information related to the companies’ government partnerships aimed […]
Ensign Peak Advisers Inc., a non-profit entity owned and operated by The Church of Jesus Christ of Latter-day Saints, has settled charges with the Securities and Exchange Commission (SEC) for failing to file required disclosure forms related to the Church’s equity investments. The SEC also announced charges against the Church […]
Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is […]
