• Posts by Conor M. Dale, Esq.
    Attorney

    A passionate securities and corporate law attorney, Conor M. Dale supports, guides and offers practical solutions for our clients. With an eye for risk mitigation, Mr. Dale achieves results for financial industry firms by offering ...

SEC Charges Morgan Stanley Smith Barney with Providing Misleading Information to Retail Clients

On May 12, 2020, the Securities and Exchange Commission (“SEC”) announced that Morgan Stanley Smith Barney (“MSSB”) agreed to settle charges that it provided misleading information regarding transaction costs and services to retail clients in its wrap program for the period from 2012 to 2017.

How To Start: Are You Evaluating Your Firm’s Whistleblower Policies?

On April 28, 2020, the Securities and Exchange Commission (“SEC”) announced an award of $18 million dollars to a whistleblower for providing the SEC with crucial information that was used as part of an enforcement action against a firm found to be in violation of federal securities laws.

SEC Updates its Public Alert Website, Adding Entities and Enhancing Capabilities

The Securities and Exchange Commission (SEC) recently upgraded its Public Alert: Unregistered Soliciting Entities (PAUSE) website adding 25 soliciting entities and four false regulators and enhancing its accessibility for Main Street investors.

Getting Ahead of the Curve: FINRA’s Areas of Focus for 2020

The Financial Industry Regulatory Authority (FINRA) is a government-authorized not-for-profit organization that oversees U.S. broker-dealers to ensure that everyone can participate in the market with confidence. Every year, FINRA publishes its areas of focus for the ongoing execution of its mission to protect investors and market integrity.

Posted in FINRA
Another Technology Company Settles SEC Charges Over ICO Violations

Blockchain of Things (“BCOT”), a technology company, has agreed to settle charges with the Securities and Exchange Commission (“SEC”) for conducting an initial coin offering (ICO) without registering it as a securities offering or qualifying for any registration exemptions.  The settlement requires BCOT to agree to a cease and desist order, pay a $250,000 civil fine, return funds to any investors who file a request, and register the tokens as securities.

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