Law

FinLaw: Pitfalls for Funding Platforms Continuing to Raise Capital over the Internet under Rule 506(b)

See article on Crowdfundinsider at https://www.crowdfundinsider.com/2017/10/123423-pitfalls-funding-platforms-continuing-raise-capital-internet-rule-506b/ — Even with the flexibility provided to Regulation D private placement offerings by Title II of the JumpStart Our Business Startups (JOBS) Act, U.S. Securities and Exchange Commission (SEC) data has consistently shown that most Regulation D offerings continue to raise capital under traditional Rule[…]

FINLAW: ICOs and a Soon Arriving Flood of SEC Enforcement Investigations

See article at http://www.banklesstimes.com/2017/10/14/icos-and-a-soon-arriving-flood-of-sec-enforcement-investigations/ The Securities and Exchange Commission late last month filed charges against the person and entities responsible for two related initial coin offerings (ICOs) that defrauded investors.  See SEC v. ReCoinGroup Foundation, LLC, et al, at https://www.sec.gov/litigation/complaints/2017/comp-pr2017-185.pdf  In the ReCoin case, a typical securities offering fraud became far[…]

Speaker, FINRA Arbitration and Enforcement – What You Need to Know, The Knowledge Group’s Continuing Legal Education for Lawyers Webinar, October 5, 2017

https://www.theknowledgegroup.org/webcasts/legal/alternative-dispute-resolution/finra-arbitration-and-enforcement            Key Topics Understanding FINRA Arbitration The Arbitration Process Risks of FINRA Disciplinary Action Latest Updates to FINRA Code of Arbitration Procedure Best Practices for Counsel