Legal Insights & Updates

Investment Adviser SEC Violations What Investment Advisers Need to Know About SEC Violations and Penalties Investme...

Insider Trading Penalties Explained Federal insider trading investigations are high-stakes events that can lead to cat...

5 Federal Insider Trading Defenses That Work What Is Insider Trading? Insider trading is when a person buys or...

ICO Securities Violations Explained Initial Coin Offerings (ICOs) have transformed the way early-stage blockchain proj...

How to Respond to FINRA 8210 Request Financial advisors and registered brokers who receive a FINRA 8210 request form ...

How to Respond to a Whistleblower Complaint An effective compliance program should include a written policy and e...

How to Protect My Reputation During SEC Investigation Introduction Being under investigation by the U.S. Securities...

How to Negotiate With the SEC A Dozen Things to Know Before You Try to Settle an SEC Enforcement Action The U.S. S...

How to Fight a FINRA Bar A Former Prosecutor’s Guide to Fighting FINRA Enforcement Actions Are you facing a FINRA ...

How to Defend Against Securities Fraud Charges Securities fraud defense is high-stakes, complex, and demands an ...

How the SEC Proves Insider Trading The Truth: Most People Who Commit Insider Trading Think They’re Being Clever The...

How SEC Settlements Work: The Truth Behind the Headlines Introduction Every year, the U.S. Securities and Exch...