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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 …


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.


Tesla and SpaceX founder Elon Musk does not shy away from publicity. The entrepreneur has been on the cover of magazines and in front of cameras for years, but his recent posts on the social media site Twitter led the U.S. Securities and Exchange Commission (SEC) to take action. While Musk and the SEC have reached a settlement concerning their dispute, the episode provides a valuable lesson for business owners.


When individuals consider making an investment, they expect the information they are given about the investment to be accurate. This is not always the case. Investment and securities fraud may seem simple, but these allegations can be extremely complicated. The Securities and Exchange Commission (SEC) was handed a win by the United States Supreme Court in a recent investor fraud lawsuit.