State Enforcement

Recently, the Department of Justice and the Federal Bureau of Investigation indicated that they are working on enough insider trading cases regarding the hedge fund industry to take them five

Continue Reading Lawyer Full Employment Act – Insider Trading, Hedge Funds and the FCPA

The SEC approved a number of rule changes promulgated by the MSRB to facilitate risk-based examinations for participants in the municipal securities industry.  These municipal securities industry participants are, generally, FINRA

Continue Reading MSRB Rules Changes Allow For Risk-Based Exams

Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it.  I then

Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .

Although the use of social media has been embraced by many industries, it is of particular concern for investment advisors and broker-dealers.

In many situations, the use of these outlets

Continue Reading Investment Advisors and Broker-Dealers Use of Social Media – Beware!!

The Securities Industry and Financial Market Association (“SIFMA”) indicated to its membership that those who engage expert networks – entities referring paid industry professionals to third parties for fees &ndash

Continue Reading SIFMA Tells its Membership Be Careful with Expert Networks

My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk.  It details methods for investigating and responding to ponzi schemes. 

In this day

Continue Reading Josh Horn’s Ponzi Scheme Response Road Map

Thought you might be interested in a recent podcast I did concerning my securities law practice. Reading Securities Podcast with Ernest Badway