Securities and Exchange Commission (SEC) Investor Bulletin Recently, the Securities and Exchange Commission (SEC) released an investor bulletin to help individuals in the military make educated decisions when it comes to saving and investing their money. We believe that these tips can help everyone, whether in the military or not.

ATTORNEY NEWSLETTER Investing Is Good. Investing Well Is Better The Securities Exchange Commission Tips for Investing Recently, the Securities and Exchange Commission (SEC) released a few tips to help investors make safer, more informed investments. We thought we should share those with you. 1. Never be afraid of doing a […]

ATTORNEY NEWSLETTER Responsibility Matters: What to Know and How to Do It Whistleblowing Whistleblowing is a difficult topic, often because people are reluctant to do it out of uncertainty or unease or, worse, fear of retaliation. But in many cases it is the responsible course of action when one is […]

ATTORNEY NEWSLETTER SEC Whistleblower Program Awards The Securities and Exchange commission has just doled out it’s second-largest award ever, a whopping $17 million, to a Wall Street employee who provided insider information that helped advance an SEC investigation. Due to the nature of the investigation and the anonymity of the […]

ATTORNEY NEWSLETTER The SEC wants to alert the individuals receiving compensation from insurance companies after natural disasters like hurricanes, floods, oil spills, and fires that they may be targets of investment fraud. This compensation gives rise to investment scams and takes many forms. There are the classic Ponzi schemes where […]

ATTORNEY NEWSLETTER The Securities and Exchange Commission recently issued an investor alert to inform investors about a type of investment scam. Affinity fraud is a form of investment scam that targets members of identifiable groups. The groups targeted could be religious, elderly, ethnic, or any other group that shares common […]

A financial planner was terminated from his position after coming forward with concerns regarding possible securities law violations at his firm.  A judge has ruled that the whistleblower may proceed with a claim under the Dodd-Frank Wall Street Reform and Consumer Protection Act.  The judge rejected the company’s contention that […]

ATTORNEY NEWSLETTER The Securities and Exchange Commission recently announced its largest reward to date for $14 million dollars.  The whistleblower who received the award gave information to the Securities and Exchange Commission that lead to an enforcement action that recovered substantial funds.  Whistleblowers who receive payments get the money from […]

ATTORNEY NEWSLETTER The Securities and Exchange Commission announced that three whistleblowers have been rewarded with more than $25,000 for information they provided that assisted the Securities and Exchange Commission in stopping a fraudulent hedge fund.  The payment is the first installment of payments anticipated to go to the whistleblowers.  When […]

-ATTORNEY NEWSLETTER- In the complaint, the Securities and Exchange Commission (SEC) settled a lawsuit against two affiliates from S.A.C. Capital Advisor, CR Intrinsic Investors and Sigma Captial, who agreed to pay approximately $614 million for insider trading fraud instead of admitting guilt. The complaint also alleged several investment companies with […]