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Criminal Law

SECLaw.com SECLaw.com

Securities law blog on issues, news and developments in the laws of the financial markets.
By Mark H. Astarita, Esq.

Post Frequency: 5.2/day

Last Entry: April 24, 2014 at 12:48:00

Recent Entries: 896

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A Group Of Investors Is Buying

Posted on February 25, 2014
A Group Of Investors Is Buying A Stake In The Next Generation Of Geniuses


Roku Is Plotting an IPO

Posted on February 24, 2014
Sooner rather than later - set-top box maker Roku is getting ready for an IPO.


A Little More Than Half Of The Economic Slowdown Is Due To Bad Weather

Posted on February 23, 2014
At least according to Goldman Sachs economist David Mericle


The Story of Sequoia Capital's $6.4 Billion 'Revenge' on Mark Zuckerberg

Posted on February 22, 2014
The Story of Sequoia Capital's $6.4 Billion 'Revenge' on Mark Zuckerberg


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Two Hong Kong-Based Firms to Pay $11 Million for Insider Trading Ahead of Nexen Acquisition by Company in China

Posted on February 18, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The Securities and Exchange Commission announced that two Hong Kong-based asset management firms whose accounts were frozen in a major insider trading case have agreed to pay nearly $11 million to settle the charges against them...


College Professors Charged in Naked Short Selling Scheme

Posted on February 03, 2014
The Securities and Exchange Commission charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits. Abusive naked short selling occurs when shares are sold without having the shares to deliver, and then intentionally failing to deliver the securities within the standard three-day settlement period...


Scottrade Agrees to Pay $2.5 Million and Admits Providing Flawed ?Blue Sheet? Trading Data

Posted on February 03, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The Securities and Exchange Commission today charged Scottrade with failing to provide the agency with complete and accurate information about trades done by the firm and its customers, which is commonly called "blue sheet" data...


NY Private Equity Manager Charged With Stealing $9 Million in Investor Funds

Posted on January 31, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The SEC charged a Manhattan-based private equity manager and his firm with stealing $9 million from investors in their private equity fund...


Woodland takes lead; Tiger headed home

Posted on January 26, 2014
http://pulse.me/s/LIQ2j


New Millionaires Need Financial Planning Advice

Posted on January 16, 2014
America's emerging millionaires are well positioned for asset growth but are also in need of more financial planning, according to research released Wednesday by Fidelity Investments.The study from Fidelity'sInsights on Adviceseries shows that 77% of those averaging $800,000 in total assets and an average household income of $150,000 do not have a written financial plan with 70% reporting they are "not very knowledgeable" about investing...


Deutsche Bank Suspends FX Traders

Posted on January 15, 2014
Deutsche Bank , Germany's biggest bank, has suspended several currency traders in New York in an internal probe that forms part of an international investigation into alleged manipulation of the global currency markets, a source familiar with the matter said on Wednesday...


SEC Announces New Date for Compliance with Final Municipal Advisor Registration Rules

Posted on January 14, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The Securities and Exchange Commission today announced that compliance with the final municipal advisor registration rules will not be required until July 1, 2014, the date on which the first set of municipal advisors will be required to register under the final rules...


Agencies Approve Interim Final Rule Authorizing Retention of Interests in and Sponsorship of Collateralized Debt Obligations Backed Primarily by Bank-Issued Trust Preferred Securities

Posted on January 14, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} Five federal agencies on Tuesday approved an interim final rule to permit banking entities to retain interests in certain collateralized debt obligations backed primarily by trust preferred securities (TruPS CDOs) from the investment prohibitions of section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act, known as the Volcker rule...


Interpretive Guidance on Municipal Advisor Registration Rules

Posted on January 13, 2014
The Securities and Exchange Commission today announced that its Office of Municipal Securities has issued interpretive guidance to address questions from market participants regarding the implementation of new final SEC rules requiring municipal advisors to register with the SEC...


SEC Names Michael Osnato as Chief of Enforcement Division?s Complex Financial Instruments Unit

Posted on January 09, 2014
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The Securities and Exchange Commission today announced that Michael J...


Tips for Responding to an SEC Subpoena

Posted on January 06, 2014
Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is true whether you are a market professional, the CEO of a regulated entity, or an investor. That investigation can have a serious effect on your business, or your career and has the risk of consuming a significant amount of time, and money, even if you have engaged in any wrongful conduct...


Why Steve Cohen Isn't In Jail

Posted on January 06, 2014
Ten thousand dollars an hour worth of lawyers filed into a courtroom in lower Manhattan on the morning of Nov. 8. The legal team represented Steven Cohen?s hedge fund, SAC Capital Advisors, which had agreed to pay $1.2billion to settle criminal charges that it had engaged in securities fraud...


Largest Insider Trade Trial vs SAC Trader Begins

Posted on January 06, 2014
Jury selection in the prosecution of Matthew Martoma, the ex-SAC portfolio manager, is set for tomorrow. He is accused of benefiting the hedge fund by $276 million in trades of Wyeth and Elan, using secret tips from a doctor supervising trials of an Alzheimer?s drug...


Club Fed? What is White Collar Prison Really Like?

Posted on January 04, 2014
Whatever your views are on prison reform, you should take a look at this article from Business Insider. There is a perception that white collar criminals spend their days playing tennis and golf in minimum security prisons. While it is true that nonviolent prisoners are treated differently than volent prisoners, the perception of a white collar prison is simply not true...


Bill de Blasio?s first priority as New York City?s leader is to ban horse-drawn carriages in Central Park. Are you kidding?

Posted on January 03, 2014
I think New Yorkers are going to quickly regret this voting decision. Mass exodus from NYC coming if this sort of thing keeps up:Bill de Blasio?s first priority as New York City?s leader is to ban horse-drawn carriages in Central Park. Are you kidding?For more information - Mayor De Blasio?s Horse Policy Is a Pile of Manure - The Daily Beast


SEC Proposes to Expand Reg A to $50 Million

Posted on December 31, 2013
The Securities and Exchange Commission today voted to propose rules intended to increase access to capital for smaller companies.The SEC's proposal would build upon Regulation A, which is an existing exemption from registration for small offerings of securities up to $5 million within a 12-month period...


SEC Charges New York-Based Brokerage Firm for Ignoring Red Flags in Soft Dollar Scheme

Posted on December 30, 2013
The Securities and Exchange Commission today announced sanctions against a New York-based brokerage firm for ignoring red flags and paying more than $400,000 in soft dollars for expenses that an investment adviser had not properly disclosed to clients...


SEC Charges Archer-Daniels-Midland with FCPA Violations

Posted on December 26, 2013
The Securities and Exchange Commission today charged global food processor Archer-Daniels-Midland Company (ADM) for failing to prevent illicit payments made by foreign subsidiaries to Ukrainian government officials in violation of the Foreign Corrupt Practices Act (FCPA)...


ZeekRewards Promoters Charged in North Carolina Ponzi Scheme

Posted on December 26, 2013
Pyramid schemes are a type of investment scam often pitched as a legitimate business opportunity in the form of multi-level marketing programs. According to the SEC's complaint filed in federal court in Charlotte, N.C.,  ZeekRewards  was such a scam, and its promoters raised more than $850 million from approximately one million investors worldwide...


ConvergEx Sub Charged for Deceiving Customers

Posted on December 26, 2013
The Securities and Exchange Commission today announced fraud charges against three brokerage subsidiaries and two former employees of a global trading services provider that caused many institutional clients to pay substantially higher amounts than disclosed for the execution of trading orders...


Stock Offerings on the Rise

Posted on December 23, 2013
While the smaller cap public offering market has been depressed for many years, we may be seeing an increase in those offerings. Wile we have been experiencing an increase in inquiries regarding private placements, some investment firms are reporting significant increases in their underwriting activity...


SEC's New Enforcement Initatives

Posted on December 23, 2013
New Forward-Looking InitiativesNew Task Forces ? The Financial Reporting and Audit (FRAud) Task Force was created to improve the Enforcement Division's ability to detect and prevent financial statement and other accounting frauds.  The new Microcap Task Force brings additional resources and analytical expertise to address fraud in the microcap markets and target gatekeepers...


SEC Charges Microsoft Senior Manager and Friend With Insider Trading in Advance of Company News

Posted on December 23, 2013
h1 a:hover {background-color:#888;color:#fff ! important;} div#emailbody table#itemcontentlist tr td div ul { list-style-type:square; padding-left:1em; } div#emailbody table#itemcontentlist tr td div blockquote { padding-left:6px; border-left: 6px solid #dadada; margin-left:1em; } div#emailbody table#itemcontentlist tr td div li { margin-bottom:1em; margin-left:1em; } table#itemcontentlist tr td a:link, table#itemcontentlist tr td a:visited, table#itemcontentlist tr td a:active, ul#summarylist li a { color:#000099; font-weight:bold; text-decoration:none; } img {border:none;} The Securities and Exchange Commission today charged a senior portfolio manager at Microsoft Corporation and his friend and business partner with insider trading ahead of company announcements...


JP Morgan Chase Sues FDIC Over WaMu

Posted on December 19, 2013
After its $13 billion November over shoddy mortgage bond sales, the government left open the bank'sability to sue the Federal Deposit Insurance Corporation regarding some of the liabilities it took on when buying Washington Mutual out of receivership in 2008...


Reviewing Broker Transition Agreements

Posted on December 18, 2013
With rising markets, and increase trailing twelves, more and more advisors are changing firms in the hopes of a better enviornment for themselves and their clients. Unfortunately, far too many advisers believe that their agreements wtih their new firm are non-negogiatable, and do not retain an attorney to review the agreements...


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