Speaker, Initial Coin Offering (ICO) Regulations: New Opportunities, New Risks – The Knowledge Group Webinar, November 15, 2018
https://www.theknowledgegroup.org/webcasts/initial-coin-offering-regulations/#webcast-portal The Knowledge Group webinar focusing on ICOs, STOs, securities regulations and enforcement actions. Other Panelists included Seth W. Goettelman, Principal, Kovitz Shifrin Nesbit; Harvey Kesner, CEO, Darisolutions; and David G. Adams, Attorney, Clifford Chance.
Read MoreSpeaker, Guest Lecturer at Campbell University Law School, Raleigh, NC on the JOBS Act, Blockchain and CryptoCurrency, November 13, 2018
Discussion of the JOBS Act, crowdfunding and blockchain/cryptocurrency before the Global Corporate Compliance class.
Read MoreFinLaw: Broker-Dealer and Investment Adviser inadequate cyber security procedure and control cases will be SEC and FINRA priority for many years to come
A new SEC enforcement case a against dully registered broker-dealer and investment adviser for deficient cyber security procedures under Reg S-P and Reg S-ID resulting in sanctions and a $1 million civil money penalty. Expect to see many, many more, and similar FINRA cases coming soon. https://www.sec.gov/litigation/admin/2018/34-84288.pdf
Read MoreSpeaker, Blockchain Law Summit, May 24, 2018, Los Angeles, CA
https://www.cryptofundingsummit.com/lawsummit Panel: Blockchain and Cryptocurrencies Regulations in US and Abroad Speakers:Scott Andersen | Principal At FinLawyer.Com (Andersen, P.C.)Seth Goettelman | Attorney In Gould & Ratner LLP Nima Maleki | Corporate Counsel At Velton Zegelman Jason Gottlieb | Partner At Morrison Cohen LLP Felix Shipkevich | Attorney And Principal Of Shipkevich PLLC Moderator: Robert Kim | Legal Editor At Bloomberg Law
Read MoreFinLaw: FINRA enforcement proceedings are not subject to any statute of limitations
FINRA’s Office of Hearing Officers has recently again confirmed that, despite the U.S. Supreme Court imposing the five year statute of limitations on SEC disgorgement actions, FINRA enforcement proceedings are not subject to any statute of limitations. While there are equitable arguments available to challenge stale FINRA cases, it is quite a different standard which
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