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17 Oct 2017, 12:00 am
In an Investor Bulletin entitled “Initial Coin Offerings” the New York State Securities and Exchange Commission warned investors about the pitfalls of ICO’s (Initial Coin Offerings) also known as token sales to raise capital. [read post]
15 Oct 2017, 12:00 am
A good friend of mine died on Saturday. [read post]
4 Oct 2017, 1:20 am
Background In these proceedings, the appellant, a practising barrister who is black, is claiming damages from the Bar Standards Board (“BSB”) in respect of disciplinary proceedings brought against her which ended in her acquittal on appeal in August 2012. [read post]
3 Oct 2017, 12:00 am
At its annual conference held in Washington, DC in May of this year, FINRA included a session to provide guidance for practices at FINRA member firms regarding the use of emerging technology in compliance and operations. [read post]
27 Sep 2017, 12:00 am
Do you have an inherited IRA? [read post]
22 Sep 2017, 12:52 pm
Kyle O’Connor Founder & Managing Partner Kyle O’Connor is a serial entrepreneur with an eye for seeing emerging industry trends and capitalizing on the opportunity of turning them into successful businesses. [read post]
19 Sep 2017, 12:00 am
In a Press Release of September 6, 2017, the Securities Exchange Commission announced charges against a New Jersey based investment adviser, Scott Newsholme, of Farmingdale, New Jersey, alleging that he stole more than $1,000,000 from advisory clients. [read post]
3 Aug 2017, 12:00 am
IRA’s have been around for over 40 years, but most investors don’t know what happens when they inherit all or part of an IRA account as a death beneficiary. [read post]
26 Jul 2017, 12:00 am
Many brokerage firms have been promoting non-purpose loans, resulting in abusive sales practices and supervisory violations associated with the aggressive marketing of these lending arrangements. [read post]
19 Jul 2017, 12:00 am
Where do North American investors go when looking for their state or province specific securities regulators? [read post]
7 Jul 2017, 1:34 pm
This is a guest post by Jeff Harris, Presidential Management Fellow. [read post]
6 Jul 2017, 12:00 am
In a Press Release dated May 2, 2017, the SEC announced the payment of a Whistleblower award in excess of one half million dollars to a company employee who provided specific information disclosing a fraudulent practice. [read post]
4 Jul 2017, 11:00 pm
Randall D. [read post]
4 Jul 2017, 11:00 pm
Randall D. [read post]
1 Jul 2017, 1:30 am
It was 12 years ago today that Sandra Day O’Connor announced her retirement from the U.S. [read post]
13 Jun 2017, 7:10 pm
Here is my 16-minute interview from this afternoon on the Charlie Gard case. [read post]
23 May 2017, 12:00 am
The Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 17-11 offering guidance on new SEC guidelines and approvals, including the adoption of FINRA Rule 2165 (Financial Exploitation of Specified Adults). [read post]
16 May 2017, 12:00 am
In Regulatory Notice 17-18, the Financial Industry Regulatory Authority (FINRA) issued addressed the obligations of FINRA member firms and persons when utilizing social media and digital communications. [read post]
4 May 2017, 12:00 am
On April 6, 2017, Tim O’Connor presented at the 2017 Securities Arbitration and Mediation Continuing Legal Education Presentation of the New York State Bar Association at the New York Society of Security Analysts (NYSSA), 1540 Broadway, New York, New York. [read post]
9 Mar 2017, 6:02 am
Guest Post by Sean M. [read post]
