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According to the Federal Bureau of Investigation, the term “securities fraud” covers a broad spectrum of activities characterized by the misrepresentation or omission of material information to investors in during the purchase or sale of securities. It can also extend …


Data breaches and cybersecurity failures are appropriately a significant concern to American consumers and companies. Large data breaches, like the Equifax data breach in 2017 that affected approximately 143 million Americans, cause everyday consumers to be concerned about their personal …


There has been a consistent gray area and longstanding confusion in securities law when it comes to unregistered intermediaries, commonly known as Finders, receiving commissions for soliciting investors on behalf of companies. The U.S Securities and Exchange Commission (SEC) has …


Despite advances in technology, increased consumer education, and abundant access to information, investment-related scams remain prevalent and will only increase in 2020. Some experts say after a year of strong stock market results in 2019, scammers will use those gains …


News over the last decade has highlighted the horror stories surrounding fraudulent financial activity and its far-reaching impacts. According to financial regulators, millions of Americans are defrauded every year. With so many predators seeking to steal from innocent investors and …


The average business loses 5% of its yearly income to fraud according to an Association of Certified Fraud Examiners Global Fraud Study. Increasingly, business fraud takes the form of a Ponzi scheme. Investors and businesses alike need to understand what a Ponzi scheme looks like to avoid falling victim. To confuse things, investments-gone-bad are increasingly being called Ponzi schemes by people who should know better. Failing to recognize the difference can prevent an investor from pursuing the best remedy to recover their investment losses.


Many retailers are finding it increasingly difficult to keep their brick-and-mortar businesses afloat. Each week seems to bring new reports of another once-popular chain shuttering its doors or filing for bankruptcy. What you don’t often see, however, is the SEC getting involved. This is exactly what occurred when the SEC alleged Conn’s engaged in improper accounting practices.


People rarely correlate immigrant visa programs with securities law, but the EB-5 visa program is creating precarious situations for businesses that leverage it to raise capital. The US created the EB-5 visa program in 1990 to inject needed capital into …


The U.S. Securities and Exchange Commission (SEC) is floating a new proposal that proponents hope will encourage more Initial Public Offerings (IPOs) by reducing auditing requirements for smaller public companies. However, experts have pointed out the proposal creates a new grey area that leaves questions for regulators and for small businesses too.