Speaker, Panel “The Global Cyber-Pandemic; Cybersecurity and the Financial Services Industry: Trends, Implications and the Future,” at the Data Protection World Forum, December 1, 2021
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- Dec 1
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https://www.dataprotectionworldforum.com
Read MoreTop 5 Litigator
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- May 18
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https://www.eb5investors.com/ Thank you for EB5 Investors Magazine for again recognizing me as a top 5 litigator in the U.S. for 2021. I appreciate the honor.
Read MoreFINLAW: FINRA amends its Sanction Guidelines to protect against elder financial exploitation
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- Nov 18
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In assessing the range of a sanction that FINRA will impose on registered representatives and member firms in FINRA disciplinary actions, the key resource relied upon by enforcement attorneys and disciplinary hearing panelists is the Sanction Guidelines. Here litigators and adjudicators find the range of sanction for particular violations, and then consider aggravating and mitigating
Read MoreFINLAW: What is next for the DOJ in the crypto space after BitMEX?
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- Oct 19
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Following the announcement by the United States Attorney, Southern District of New York on October 1, 2020 that it indicted the principals of the alleged off-shore cryptocurrency derivatives exchange BitMEX, there are many clear take-aways. To address just two, violations of the Bank Secrecy Act implicate criminal violations that can wreck both a company and
Read MoreFINLAW: The SEC proposes a finder exemption to broker-dealer registration
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- Oct 15
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Last week, the SEC proposed a finder’s exemption to foster capital raising for small businesses. The proposal, which is not yet final, provides a safe harbor for finders to assist issuers in raising capital from accredited investors. The proposal creates two tiers of finders (Tier I and II), and the requirements a finder must meet
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