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...
Trying the most complex issues
for over 30 years.
Trying the most complex issues for over 30 years.
Securities Litigation
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...
Investment losses due to broker misconduct? Consider arbitration
If you have a brokerage account and a dispute arises, you may be required to handle it in arbitration. Or, you may decide that arbitration is the most favorable venue for your dispute. In fact, surveys have found that investors get good results in arbitration when...
What is insider trading?
As you lead or grow a business, you may be privy to information that your shareholders do not have. You may think there’s nothing wrong with using it to your personal financial advantage. And you may believe doing so will help you reach a position of greater security....
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