Blog

Speaker, Assets on Blockchain, Harvard Club NYC, October 3, 2024, New York, NY

Panel Member for Regulate U.S.; Remaining Competitive with Other Jurisdictions Requires Proper Regulation. The Panel explored the regulatory landscape in the United States and the need for proper guidelines for the country to remain competitive with others in the digital asset landscape.

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Speaker, 2024 FINRA Annual Conference, May 14-16, 2024, Washington, DC

Speaker on Panel, "The Latest in Private Placement Sales Oversight," at FINRA's premier annual conference in Washington, DC, covering compliance and regulatory topics for practitioners, peers and regulators.

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Speaker, Arizona Bar Association, Evolving Regulatory Framework for Cryptocurrency – Update on SEC Actions and Theories, April 16, 2024, Phoenix, AZ

Speaker on recent case developments in cryptocurrency focusing on the SEC enforcement litigation in the U.S. District Court, Southern District of New York in the Ripple Labs Inc., Terra Form Labs Pte. Ltd., and Coinbase, Inc. matters, among others. Discussion of Howey analysis in these actions and the legal arguments being made by the SEC…

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Speaker, ALI CLE Regulation D Offerings and Private Placements 2024, March 14-15, 2024, Scottsdale, AZ

Speaker, together with other attorneys including representatives from the U.S. Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA). Participated on the following Panels : 1. Offerings to Unaccredited Investors; 2. State Securities Law and NASAA Regulatory Priorities, Enforcement Initiatives and Experience in the States;…

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FINLAW: FINRA Settles Its First Regulation Best Interest Case

In the AWC entitled Charles V. Malico, Respondent, Matter No. 2021069405501 resolved at the end of last year, FINRA settled its first case involving a violation of Regulation Best Interest (Reg BI). The matter resembled a traditional suitability matter where Mr. Malico, without admitting or denying, accepted and consented to findings that he willfully violated…

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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

https://www.dataprotectionworldforum.com

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Top 5 Litigator

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.   

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FINLAW: FINRA amends its Sanction Guidelines to protect against elder financial exploitation

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…

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FINLAW: What is next for the DOJ in the crypto space after BitMEX?

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…

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FINLAW: The SEC proposes a finder exemption to broker-dealer registration

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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