Ford O'Brien, LLP

New York Securities Law Blog

A Consequential SCOTUS Ruling For Investors

In recent months the Supreme Court of the United States (SCOTUS) has made major rulings with far-reaching consequences for individual and institutional investors. A highly anticipated future ruling could have a dramatic effect on securities fraud claims brought by investors and the Securities and Exchange Commission (SEC). 

Cryptocurrency & The SEC: Gray Area or Black-and-White?

When compared to the "tried and true" - blue chip stocks, mutual funds, index funds, and bonds - cryptocurrencies are a bit of a gray area. Investing in cryptocurrency appeared even grayer on October 22 when the Securities and Exchange Commission (SEC) suspended trading for a public company that boasted of a fraudulent approval for their cryptocurrency business. 


Learn From Elon Musk

Many lessons cover what to do but some of the most valuable lessons to learn cover what not to do. Elon Musk - CEO and founder of companies such as Tesla and SpaceX - recently provided one of those lessons by allowing his flair for self-promotion to get him in hot water with the Securities and Exchange Commission (SEC). 


NFL Player Faces 25 Years In Prison For Insider Trading

The National Football League (NFL) has dealt with many negative headlines over the years when it comes to the behavior of players, coaches, and executives. Unfortunately, incidents involving allegations of domestic violence, drunk driving, and substance abuse have become a tradition nearly as familiar as the Super Bowl. 

The charges recently levied against linebacker Mychal Kendricks were anything but common for NFL players, raising eyebrows throughout the league and around the nation. 

Cryptocurrency Goes Old School

Cryptocurrencies have been touted as revolutionary. Such assertions are debatable but developments such as Morgan Stanley planning to trade Bitcoin for its clients show that cryptocurrencies are likely here to stay. 

What happens when investors are the victims of fraud involving a cryptocurrency? A recent U.S. District Court decision has shed a great deal of light on the issue. 

Insider Trading: Beyond The Headlines

Years after Martha Stewart's trial was national news, insider trading was thrust back into the headlines last week as a New York Congressman was indicted for allegedly placing a call from the White House lawn to deliver a stock tip to a family member. 

Rep. Chris Collins (R-NY) was initially defiant in the face of the charges but, by Saturday, had decided to suspend his reelection bid

Secondary Liability: Is "Just Doing My Job" a Valid Defense?

The U.S. Supreme Court recently agreed to hear an appeal stemming from an investment banker who was found liable for fraud. There are numerous cases each year, but this case stands out due to its peculiar circumstances. The banker was found liable due to the practice of copying and pasting his boss's fraudulent emails into client-facing messages (Source: Law360, June 20, 2018). 

What Does SCOTUS Ruling on SEC Appointments Mean For You?

Late last month the Supreme Court of the United States issued a highly anticipated ruling in a case that could have lasting ramifications for investors and financial institutions. In the case of Lucia v. SEC, the court ruled that the Securities and Exchange Commission's (SEC) appointments of Administrative Law Judges were unconstitutional. 

If You See Something, Say Something

The saying "if you see something, say something" has its origins in the aftermath of the September 11 attacks. Korey Kay & Partners', the Manhattan ad agency responsible for the slogan, had the MTA in mind but could have just as easily been describing the important role that whistleblowers play in the workplace and throughout society. 

As corporations and government bureaucracies become more complex than ever before, the accounts of whistleblowers on the inside are more important than ever in holding individuals, government agencies, and business entities accountable. 

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