Ford O'Brien, LLP

New York Securities Law Blog

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. 

A Startling Development in the Cryptocurrency Market

In a previous post (Getting Started With Cryptocurrency: 4 Things To Know), we discussed the importance of familiarizing yourself with the regulatory issues and uncertainty surrounding cryptocurrency prior to adding it to your investment portfolio or including it in offerings to your clients. 

A development in the bitcoin market this week brings the issues of regulatory uncertainty back to the forefront. 

What Your Business Can Learn From Facebook's Rough 2018

Consumers no longer treat e-commerce as an occasional alternative to brick-and-motor retail; in 2018 consumers expect the option to handle purchases, returns, and even customer service interaction online, often on-the-go via mobile applications. More importantly, they also expect that businesses will be faithful stewards of their personal data and fierce protectors of their privacy. 

For evidence of this expectation, look no further than the recent controversy over Facebook's handling of user data.  

Examining The DOJ's New Approach To White Collar Crime

White collar criminal charges such as insider trading and securities fraud can involve millions - even billions - of dollars and result in significant prison time upon conviction. A change in how the United States Department of Justice (DOJ) approaches these matters is of great-significance due to their potential reach. 

As reported by Reuters ("U.S. Justice Dept to lessen overlap on white-collar crime, change penalties: Rosenstein"), the DOJ has recently launched efforts to work with other jurisdictions to reduce overlap and ensure that penalties are not disproportionate. 

Getting Started With Cryptocurrency: 4 Things To Know

With years or even decades of trading and advising experience under your belt, you have no issue sifting through bears, bulls, and the fluctuations of the stock market. As cryptocurrency works to dip its toes into the mainstream, you are not alone if terms like "bitcoin" leave you feeling unsure of your strategy. 

Avoiding Regulatory Turmoil in a Turbulent Market

As discussed in a previous post, being on the wrong side of a civil or regulatory action is a much more present threat to investors and businesses than a criminal complaint.

Regulatory bodies such as the Securities and Exchange Commission (SEC) have the potential to throw your strategy into turmoil as you work to navigate the ups and downs of the market in 2018. 

Office 365 Phishing: Don't Let Your Business Get Reeled In

We have made it our business to provide answers that can help your business protect the bottom line. This usually involves providing guidance on commercial litigation, regulatory defense, and employment law. Today we will focus on an issue that many businesses are confronting in 2018: how to protect vital information in the dawn of the cloud-computing era.

Keep Your Eye on The Big Picture

Bombshell criminal cases like those involving Bernard Madoff garner worldwide media headlines and rock the financial sector, but they are extremely rare in the big picture.

For hedge fund managers and banking executives, being on the wrong side of a civil case is a much more realistic threat to their business, livelihood, and professional reputation. Regulatory bodies such as the Securities and Exchange Commission (SEC) have the potential to sink even the most successful operations.

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