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5 Nov 2014, 12:12 pm
When we deal with FINRA Staff in a regulatory examination, and produce such material, we can rely on the process, and the integrity of the Staff, to protect the confidentiality of that information. [read post]
16 Oct 2014, 7:00 am
The issues raised by those criticisms have grown in significance in recent years as the SEC staff has used vague and overbroad subpoenas and requests for documents in the age of email and electronically stored information. [read post]
10 Oct 2014, 5:30 am
”For more information visit SEC.gov | SEC Staff Issue Risk Alert and FAQs on Customer Sales of Securities---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
19 Aug 2014, 2:42 pm
It seems that medical marijuana is that next new thing.We wrote about marijuana stock scams last year, and just last week the SEC filed charges against promoters who the Staff believes were "pumping and dumping" stocks of companies in the medical marijuana business. [read post]
16 Aug 2014, 7:44 am
The notice references, in broad-strokes, the violation that the Staff believes has occurred. [read post]
14 Aug 2014, 11:00 am
Most independent firms rely on the assistance of their in-house staffs as well as outside counsel such as my firm, for unique issues that arise, and in insuring that regulators understand the unique issues facing these firms.Larry Roth, the President of Cetera, a network of independent firms, has offered his thoughts on the future of the independent firm. [read post]
11 Aug 2014, 3:07 pm
They use their staff as the prosecutors, and use their internal administrative law judges as the judge and jury. [read post]
31 Jul 2014, 10:00 am
During that period, Smith & Wesson’s international sales staff engaged in a pervasive effort to attract new business by offering, authorizing, or making illegal payments or providing gifts meant for government officials in Pakistan, Indonesia, and other foreign countries. [read post]
18 Apr 2014, 8:00 am
After the SEC staff implemented the asset freeze, at the SEC's request the court lifted the seal today, permitting public announcement of the SEC's charges.The SEC alleges that TelexFree, Inc. and TelexFree, LLC claim to run a multilevel marketing company that sells telephone service based on "voice over Internet" (VoIP) technology but actually are operating an elaborate pyramid scheme. [read post]
3 Feb 2014, 12:00 pm
After the SEC staff contacted Scottrade questioning the data, the firm informed the agency that a computer coding error had resulted in the inadvertent omission of the trades. [read post]
13 Jan 2014, 6:04 am
The SEC staff may provide periodic updates to the interpretive guidance issued today. [read post]
9 Jan 2014, 6:02 am
Prior to joining the SEC enforcement staff, Mr. [read post]
6 Jan 2014, 6:30 am
At the deposition, the Staff will make an opening statement and describe the general process to the witness. [read post]
31 Dec 2013, 10:00 am
.# # #FACT SHEETRegulation ASEC Open MeetingDec. 18, 2013BackgroundWhen a company offers or sells securities to potential investors in order to raise capital, the company is required under the Securities Act of 1933 to register the offer and sale – unless it can rely on an exemption.One longstanding exemption from Securities Act registration is Regulation A, which permits unregistered public offerings of up to $5 million of securities in a 12-month period, including no more than $1.5 million… [read post]
18 Dec 2013, 6:18 am
We are proud of the terrific results achieved by our hardworking and committed staff and pleased with the strong and robust pipeline of investigations they've developed for the year ahead." [read post]
12 Nov 2013, 6:13 am
Securities and Exchange Commission are conducting an investigation of the SEC's New York office for the possibility of improper investments.According to Reuters, investigators are checking whether the employees' investments comply with SEC internal rules that prohibit trading shares of companies under investigation.The article claims that the investigation appears limited to the New York office of the securities regulator, and there is no indication of widespread flouting of the rules, according to… [read post]
16 Sep 2013, 8:05 am
“Our examination and enforcement staff aggressively pursue investment advisers who flout the registration provisions of the securities laws for their personal gain, especially those who attempt to cover up their misdeeds by flat-out lying to our examiners. [read post]
8 Aug 2013, 10:30 am
Ultimately the Staff takes the customer's testimony under oath,At that time, the customer is faced with a choice - assist the investigation and testify, or refuse to testify and assert his rights under the Fifth Amendment. [read post]
6 Aug 2013, 6:30 am
Bank Staffs Up UHNW Team in San Francisco [read post]
19 Jul 2013, 3:15 pm
Those two statements are very different, but undoubtedly intended by the Staff to imply that Cohen knew it was inside information.Clearly that is not the case, or this would not be an administrative proceeding. [read post]
