Crypto Hacks Lawyers
Max Dilendorf and I started a YouTube Channel - Crypto Hacks Lawyers. Check it out at https://www.youtube.com/watch?v=3Nt2lPkuIkM
Read MoreSpeaker, Guest Lecturer at CSU College of Law, on the Law of Insider Trading, November 13, 2024, Cleveland, OH
Read MoreSpeaker, 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.
Read MoreSpeaker, 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.
Read MoreSpeaker, 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…
Read MoreSpeaker, 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;…
Read MoreFINLAW: 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…
Read MoreSpeaker, 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
Read MoreTop 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.
Read MoreFINLAW: 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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