September2018

Speaker, Annual Blockchain and Crypto Currency Investor Conference, September 26, 2018, New York, NY

Participant on SEC regulatory panel, Blockchain and Regulation: Peter D. Hatzipetros, President, and Founder of Petros Law Group, Scott Andersen, Scott Andersen is principal at Andersen, P.C., finLawyer.com| George S. Georgiades, General Counsel at Prime Trust | Gary Ross, Co-Founder of Ross & Shulga PLLC | Chi-Ru Jou, Partner at CKR Law[…]

FinLaw: Broker-Dealer and Investment Adviser inadequate cyber security procedure and control cases will be SEC and FINRA priority for many years to come

A new SEC enforcement case a against dully registered broker-dealer and investment adviser for deficient cyber security procedures under Reg S-P and Reg S-ID resulting in sanctions and a $1 million civil money penalty. Expect to see many, many more, and similar FINRA cases coming soon.  https://www.sec.gov/litigation/admin/2018/34-84288.pdf