2013 SEC Enforcement Cases – A Year In Review
The Legal Tip for Jacko Law Group titled 2013 Sec Enforcement Cases – A Year In Review was written in December, 2013.… Read More
The Legal Tip for Jacko Law Group titled 2013 Sec Enforcement Cases – A Year In Review was written in December, 2013.… Read More
In 2012, states expanded their oversight of registered investment advisers (“RIAs”) from those with $25 million in assets, to those with $100 million or less. Prior to 2012, the Securities and Exchange Commission (“SEC”) had been responsible for overseeing these…
This week, LPL Financial LLC (“LPL”) was fined $7.5 million by The Financial Industry Regulatory Authority (“FINRA”) who cited LPL for thirty-five (35) separate email system failures. FINRA asserted that these actions were a violation of the record keeping provisions…
The U.S. Supreme Court (the “Court”) last week unanimously reversed a 2nd U.S. Circuit Court of Appeals decision, effectively mandating the Securities and Exchange Commission (“SEC”) to file complaints seeking civil penalties for securities fraud within five years of the…
The Legal Tip for Jacko Law Group titled 2012 Sec Enforcement Cases – A Year in Review was written in December, 2012.… Read More
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled Fall 2012 Regulatory Compliance “Hot Topics” in October, 2012.… Read More
The SEC Whistleblower Program (the “Program”), which became a final rule on August 12, 2011, provides incentives and protection to whistleblowers who provide the SEC with original information about violations of the federal securities laws. Under the Program, an “eligible…
On May 22, 2012 the SEC announced the filing of a complaint in Federal District Court in the Southern District of Florida alleging violations of federal securities laws by two Fort Lauderdale residents – George Levin and Frank Preve. The…
In January 2010, the SEC established a formal program to encourage and reward individuals who cooperate with the agency in its enforcement investigations and litigation. On March 19, the SEC’s Enforcement Director, Robert Khuzami, issued a public statement touting the…
Jacko Law Group, P.C. (“JLG”) wrote a Legal Tip titled The Urban Case And Avoiding Supervisory Liability For Compliance And Legal Personnel in March, 2012.… Read More