Speaker, New Reforms and Opportunities in Technology Driven Finance, Crittenden Real Estate Finance Conference, The Mandarin Oriental, Miami, Florida, October 25-27, 2017
Speaker on opportunities, regulation and enforcement – the JOBS Act Reg D, Reg A+ and ICOs (crypto currency token sales). http://www.crittendenrealestatefinance.com/REF-2017-Speakers.html
Read MoreFinLaw: 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 506(b). Rule 506(b), unlike its
Read MoreFINLAW: 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 more notable because the vehicle
Read MoreFINLAW: Pitfall to the Unwary — Mandatory Arbitration and the Unanticipated FINRA Enforcement Action
We hear frequent complaints about FINRA arbitrations. The arbitration is unfair to one party or another, that there are insufficient procedures to dismiss frivolous cases, or that the arbitrators do not spell out the factual or legal basis for their decision. While each of these may be a legitimate complaint, unwary litigants who are also
Read MoreSpeaker, 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
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