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On April 9, the Securities and Exchange Commission (SEC) issued an Investor Alert highlighting the risks of Ponzi schemes targeting senior investors. As explained by the SEC, “In a Ponzi scheme, fraudsters use money they collect from new investors to pay existing investors. What appears to be a return on […]
While the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) routinely issue alerts warning investors of new trends in investment fraud scams, it is not often that they highlight the same risks at the same time. But, in recent months, FINRA and the SEC have both […]
Along with the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) is one of the primary authorities with oversight of brokers and brokerage firms serving individual investors. FINRA’s role is to protect individual investors, and it does this through means ranging from establishing formal rules for brokers […]
As an investment fraud law firm, we often post articles discussing real-life examples of fraud and the steps investors can take to recover fraudulent losses. But, in a perfect world, these would not be issues at all. We know the devastation that comes with losing everything, and we strongly encourage […]
If you are thinking about investing in Bitcoin, it’s helpful to get legal advice about the implications of this investment. A Bitcoin attorney provides guidance, including advice on how these assets should be treated for tax purposes. One issue that affects the decisions investors make — and the ways in […]
Bitcoin has become a much more mainstream investment, but one big concern on the part of authorities is that Bitcoins will be used to launder money or to hide the proceeds of criminal activities. Regulators are aiming to impose rules that would limit the ability of Bitcoin to be traded […]
In 2012, Congress passed the Jumpstart our Business Startups or JOBS Act, which was designed to ease capital raising requirements for emerging growth companies which have $1 billion or less in annual revenue. It was a big deal at the time – a bipartisan effort in Washington to show that […]
In March, the Securities and Exchange Commission (SEC) announced that it has settled charges filed against Theranos and its founder and CEO Elizabeth Holmes. Charges against the company’s former president, Ramesh Balwani, remain pending. The charges stem from what the SEC called, “an elaborate, years-long fraud,” that resulted in the […]
Cryptocurrency trading has long been complicated for many investors because the cryptocurrency was considered to be on the fringes of the world’s financial marketplaces. However, Goldman Sachs Group, Inc. has now confirmed that it plans to trade Bitcoin. Goldman’s entry into bitcoin trading could have major implications for the evolving […]
For investors who have suffered fraudulent losses, one of the primary means of financial recovery is to pursue arbitration before the Financial Industry Regulatory Authority (FINRA). Arbitration provides a more efficient and more cost-effective alternative to litigation; and, since registered brokers are required to arbitrate most investor claims, initiating FINRA […]