The Law of the Financial Markets from Top Securities Lawyers
Tuesday, February 10, 2026
Jan. 23, 2023 —The Securities and Exchange Commission today announced settled charges against Bloomberg Finance L.P. (Bloomberg) for misleading disclosures relating to its paid subscription service, BVAL, which provides daily price valuations for fixed-income securities to financial services entities. The SEC’s order finds that from at least 2016 through October […]
FINRA is the Financial Industry Regulatory Association and is the successor to the National Association of Securities Dealers. FINRA is authorized by Congress to regulate and oversee the broker-dealer industry, ensuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the […]
an. 9, 2023 — The Securities and Exchange Commission today charged Stephen J. Easterbrook, former CEO of McDonald’s Corporation, with making false and misleading statements to investors about the circumstances leading to his termination in November 2019. McDonald’s also was charged for shortcomings in its public disclosures related to Easterbrook’s […]
What is Regulation CF? Regulation CF’s crowdfunding rules are in Section 4(a)(6) of the Securities Act. It allows startups and small businesses to use the internet to raise capital through equity investments from a large number of investors. Regulation CF is available for offerings up to $1 million, giving accredited […]
FINRA, the Financial Industry Regulatory Association, is the successor to the National Association of Securities Dealers and is authorized by Congress to regulate and oversee the broker-dealer industry, insuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the country—and analyzes […]
Jan. 4, 2023 —The Securities and Exchange Commission today charged Neil Chandran, Garry Davidson, Michael Glaspie, Amy Mossel, Linda Knott, AEO Publishing Inc, Banner Co-Op, Inc, and BannersGo, LLC for their involvement in a fraudulent investment scheme named CoinDeal that raised more than $45 million from sales of unregistered securities […]
Jan. 3, 2023 — The Securities and Exchange Commission today announced fraud charges against Cooper J. Morgenthau, the former CFO of African Gold Acquisition Corp., a SPAC or special purpose acquisition company, for orchestrating a scheme in which he stole more than $5 million from the company and from investors […]
Interesting article from Forbes – SBF borrowed half a billion dollars from his hedge fund to finance a purchase of Robinhood stock. When Sam Bankman-Fried bought a nearly 7.6% stake in Robinhood, the popular stock-trading app, earlier this year, he financed the deal with more than half a billion dollars […]
December 19, 2022 – The Securities and Exchange Commission today announced an award of more than $37 million to a whistleblower whose information led to a successful SEC enforcement action and a related action. The whistleblower was the initial source of the company’s internal investigation, as well as the source […]
Your employment agreement is important, you will be held to its terms. And it is negotiable! Plus, with proper planning, and following the Protocol, you can avoid all of this litigation. Call us first! Securities Lawyer-212.509.6544 – Nationwide Representation of Securities Professionals J.P. Morgan Securities (JPMorgan) is seeking a temporary […]
