If you run a business that sells securities, compliance with regulations and mitigating legal risks are crucial for success. If investors feel you haven’t provided complete or accurate information, they may sue your business for their losses. The last thing investors...
Trying the most complex issues
for over 30 years.
Trying the most complex issues for over 30 years.
Securities Litigation
What the SEC considers securities in oil and gas partnerships
As an oil and gas investor, it is crucial to have a clear understanding of securities and their implications. In its simplest form, a security represents a tradable financial asset. It typically holds value and can be bought, sold or exchanged. Examples of common...
FAQs about insider trading
What is insider trading? Insider trading is buying or selling stock using material, confidential information to gain an unfair advantage. Who is an “insider”? An insider is someone who has access to confidential information about the corporation. These individuals...
Arbitration in Securities Law
There are a variety of benefits in choosing arbitration over litigation, and in securities it is no exception. Oftentimes people think that arbitration resembles mediation and that it is not a legitimate form of alternative dispute resolution. That could not be...
Kim Kardashian is charged by SEC for illegally touting cryptocurrency
The U.S. Securities and Exchange Commission (SEC) is keeping up with the Kardashians. This time, however, for something less than desirable. The reality TV star Kim Kardashian is facing charges of illegally promoting a type of cryptocurrency online. She reportedly did...
Friends, family and federal charges
Nearly everyone wants to work for a successful company. You usually want to share the excitement of business achievements with your family and friends when you do. However, you must consider whether the information you provide falls within legal limits or teeters on...
4 ways to prevent insider trading
An insider can put a company in trouble if they trade its securities after learning important information about the company. The law considers an insider to be anyone who owns more than 10% of a public company’s shares. This means that not only board members can...
Three keys to avoiding SEC investigations
No business relishes an investigation from the Securities and Exchange Commission (SEC). Running afoul of federal regulations can result in significant fines and penalties and, in come cases, even criminal charges. A few keys to mitigating such risks include: Meeting...
How prevalent is insider trading?
Any business owner, executive or board member is aware of the possibility of insider trading. But for most people, it is something that one might see in the movies or in fiction. It is hard for many to believe that insider trading could be a daily occurrence in some...
Under Armour under fire from the SEC
The Securities and Exchange Commission (SEC) had already started a probe of Under Armour when it issued a Wells Notice on July 22, 2020. The matter in question includes accounting of sales spanning the time period of 2015’s third quarter to 2016’s fourth quarter. The...
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