Five attorneys at Ford O'Brien Landy LLP were recently acknowledged by Super Lawyers for acclaimed legal services. Congratulations to Kevin O'Brien, Adam Ford, Robert Landy, Matthew Aaron Ford and Nicolette Beuther, who were all recognized by New York Metro Super...
Back in July, a former product manager at Coinbase Global Inc. was arrested for allegedly providing insider information to help his brother and a friend purchase crypto tokens before they were listed on the Coinbase exchange. Now the Department of Justice (DOJ) has...
An SEC investigation is never a welcome turn of events, but wise choices can mitigate the damage an investigation may have on your firm. One strategy for reducing the overall expense and liability is to engage in remediation efforts, as one Silicon Valley company...
The Financial Industry Regulatory Authority (FINRA) does more than just oversee broker-dealers in the United States. FINRA can also issue fines and suspensions, as well as bar individuals from the brokerage industry. One way that FINRA determines whether there is an...
In yet another episode in the ongoing battle between the SEC and billionaire Elon Musk, a federal judge has rejected Musk's bid to have a settlement thrown out arising from a tweet he posted in 2018. The parties reached the settlement after Musk tweeted a message...
Chief compliance officers (CCOs) play a critical role in helping broker-dealers avoid regulatory oversights and promote the overall integrity of the market. However, CCOs are obviously not the only parties who could be on the hook for regulatory violations at a...
An independent auditor must remain free from conflicts of interest that could give the auditor a personal stake in the company they are auditing. This concept is at the heart of a probe being conducted by investigators from the Securities and Exchange Commission...
Broker-dealers and employees of publicly traded companies must be careful about how they communicate regarding securities trades. Under SEC Books and Records Rules, people in such positions are required to preserve comprehensive records regarding the purchase and sale...
Multinational generic pharmaceutical giant Teva reached a $420 million settlement with shareholders who claimed the company hid a price-fixing scheme and artificially inflated share prices. According to the suit, filed in federal court in Connecticut, the price-fixing...
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