Press Releases & News Blog Posts

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

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

by Richard FrankowskiLegal Matters, Press Releases & NewsJune 17 2014 SEC Examining Possible Changes To The Definition Of “Accredited Investor”

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

by Richard FrankowskiPress Releases & NewsJune 16 2014 SEC To File Some Insider-Trading Cases In-House

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

by Richard FrankowskiPress Releases & NewsJune 12 2014 Ex-TheStreet Editor Settles Insider Trading Case With The SEC

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

by Richard FrankowskiPress Releases & NewsJune 11 2014 SEC Loses Second Insider Trading Case In One Week

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

by Richard FrankowskiPress Releases & NewsJune 10 2014 SEC Settles Case Against Bitcoin-Denominated Stock Sale

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

by Richard FrankowskiPress Releases & NewsJune 9 2014 Second Circuit Holds Mandatory Broker Dealer Arbitration Not Available To Non-Customer

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

by Richard FrankowskiPress Releases & NewsJune 6 2014 Ex-ArthroCare Executives Convicted Of Fraud

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

by Richard FrankowskiLegal Matters, Press Releases & NewsJune 5 2014 FINRA Issues $1 Million Dollar Fines For Inaccurate Blue Sheet Data

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

by Richard FrankowskiPress Releases & NewsJune 4 2014 Phil Mickelson Being Investigated For Possible Insider Trading

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Golfer Phil Mickelson and Las Vegas gambler Billy Walters made several million dollars in 2011 trading […]

by Richard FrankowskiPress Releases & NewsJune 3 2014