Posts from June 2014.

A landmark case of whistleblower anti-retaliation enforcement has recently been settled between the Securities and Exchange Commission (“SEC”) and the advisory firm Paradigm Capital Management (“Paradigm”) and Candace King Weir (“Weir” the majority owner of paradigm) in the first case...

Jacko Law Group, PC (“JLG”) each month publishes a Legal Tip, written by one of its professional staff on a relevant topic specific to the securities industry. In late May 2014, JLG’s Attorney, Robert Boeche, wrote and released a Legal...

The role of a transfer agent is a unique – and powerful – position in the securities industry. Transfer agents are used by publicly traded companies and other issuers “to keep track of individuals and entities owning stocks and bonds...

The Securities and Exchange Commission ("SEC") recently charged Rafferty Capital Markets ("Rafferty") with illegally facilitating trades for an unregistered broker-dealer. A May 15, 2014 SEC press release details how Rafferty settled an SEC-charged penalty of $850,000 for perpetrating "illegally arranged...

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