Ford O'Brien, LLP

April 2020 Archives

Recent trends in FINRA disciplinary actions

As you may know, the Financial Industry Regulatory Authority (FINRA) is a self-regulating association that conducts investigations into its members with regard to securities law compliance. FINRA oversees disciplinary actions for its broker-dealer members who violate FINRA rules or SEC regulations. 

SEC wins injunction against Telegram's new cryptocurrency

In a landmark digital currency ruling, a US District Judge in Manhattan has issued a preliminary injunction against Telegram. The Securities and Exchange Commission (SEC) initiated the lawsuit against Telegram in an attempt to bar the launch of the Company's Open Network blockchain. The judge maintained the SEC's claims that Telegram's initiative to produce a new digital currency for its TON platform involved the sale of unregistered securities.

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