Cryptocurrency

A cryptocurrency trading suspension and an emergency halting of a planned initial coin offering have both been initiated by the SEC this month. The main ...

A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new heights. NASAA’s annual ...

he shoddy state of American insider-trading law affects everyone.Prosecutors and regulators are stuck enforcing laws that are ill-suited to 21st-century misconduct. Lawyers struggle to tell ...

FINRA is finally wising up to the potential of new technologies that assist firms in meeting their compliance obligations. Unfortunately, it is also leery of ...

The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recommendations to ...

Rampoldi purchased or caused to be purchased Ardea Biosciences, Inc. (“Ardea”) securities based on tips he received of material, nonpublic information regarding which he knew, ...

The end of September represents the end of the SEC’s 2018 fiscal year and the inevitable analysis of its Enforcement Division’s statistics. But the division’s ...

It was billed as the first disciplinary action by FINRA involving cryptocurrencies. But at essence, the case against Timothy Tilton Ayre boils down to allegations ...

These proceedings concern insider trading by investment adviser Ross, who misappropriated material non-public information from his client Thomas Earl Hayden, II (the “Advisory Client”) about ...

Arbitration has long been suggested as a possible mechanism for resolving disputes between companies and their shareholders. More than a decade ago, for example, Senator ...