Legal Insights & Updates

The SEC has built sophisticated surveillance infrastructure processing billions of records daily to detect insider trading. Learn the SEC's prosecution playbook.

Securities fraud defense demands integrated federal litigation strategy. Learn about the key statutes, defense elements, and strategies for fighting federal charges.

A former prosecutor's guide to fighting FINRA enforcement actions. Learn five tips for fighting a FINRA bar and 12 key facts about the process.

A dozen things to know before you try to settle an SEC enforcement action. Over 98% of SEC cases settle before trial -- learn how…

Being under SEC investigation presents serious challenges for executives. Learn strategies to protect your professional reputation from permanent damage.

An effective compliance program should include procedures for responding to whistleblower complaints. Learn 10 tips for companies facing federal whistleblower complaints.

Financial advisors and brokers who receive a FINRA 8210 request should hire a defense attorney and comply with document requests. Learn the step-by-step process.

Understanding ICO securities violations, SEC enforcement actions against initial coin offerings, and how to protect your blockchain project from regulatory action.

Learn five proven federal insider trading defenses including challenging materiality, fiduciary duty breach, confidentiality agreements, information usage, and sharing of information.

New Jersey DWI cases differ significantly from other states. The true cost of a first-time NJ DWI can reach $9,000 to $20,000. Learn your options.