+1-888-741-7503

NO FEES UNTIL WE WIN
FREE CONSULTATION

Blogs & News

Book A Free Case Review

FINRA Fines Goldman Sachs $800k

July 1 2014

FINRA fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written […]

Learn more

Ridgeland, Mississippi Man Indicted, Charged With Alleged Securities Act Violations

June 30 2014

Last month, Samer N’Ser of Ridgeland, Mississippi was arrested for multiple alleged violations of the Alabama […]

Learn more

Bernie Madoff’s Former Accountant Pleads Guilty

June 30 2014

Bernie Madoff’s former accountant, Paul Konigsberg, pleaded guilty last week to conspiracy and falsifying records during […]

Learn more

FINRA Expels Success Trade Securities, Inc. And Bars CEO For Fraud

June 26 2014

A FINRA hearing panel expelled Success Trade Securities, Inc., which is based in Washington, D.C., from […]

Learn more

Florida State Regulators Warn Of Scam’s Fake Paperwork

June 25 2014

The Florida Office of Financial Regulation issued a consumer alert last week pertaining to a scam […]

Learn more

FINRA Bars Florida Broker Who Used Foundation’s Money

June 19 2014

The Stuart Siegel FINRA bar case highlights a troubling instance of broker misconduct involving the misuse […]

Learn more

Judge Persuaded To Reconsider SEC’s Case Against Bank Of America

June 17 2014

U.S. District Judge Max O. Cogburn Jr. was persuaded by Bank of America to reconsider his […]

Learn more

SEC Examining Possible Changes To The Definition Of “Accredited Investor”

June 16 2014

The SEC is currently examining potential changes to its definition of “accredited investor.” Section 413(b)(2)(A) of […]

Learn more

SEC To File Some Insider-Trading Cases In-House

June 12 2014

The SEC will begin filing some insider-trading cases in an in-house court rather than federal court, […]

Learn more

Ex-TheStreet Editor Settles Insider Trading Case With The SEC

June 11 2014

Michael Baron, a former senior editor at TheStreet Inc. has agreed to pay $10,225 to resolve […]

Learn more

SEC Loses Second Insider Trading Case In One Week

June 10 2014

On Friday, June 6, a federal jury in California found the founder of STEC Inc., a […]

Learn more

SEC Settles Case Against Bitcoin-Denominated Stock Sale

June 9 2014

Bitcoin entrepeneur Erik Voorhees will have to pay more than $50,000 to settle a case in […]

Learn more

Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available To Non-Customer

June 6 2014

Last month, the US Court of Appeals for the Second Circuit issued a summary order in […]

Learn more

Ex-ArthroCare Executives Convicted Of Fraud

June 5 2014

Two former executives of ArthroCare, a surgical device manufacturer, have been convicted for their roles in […]

Learn more

FINRA Issues $1 Million Dollar Fines For Inaccurate Blue Sheet Data

June 4 2014

FINRA announced today that is has fined Barclays Capital Inc., Goldman, Sachs & Co., and Merrill […]

Learn more