Securities Arbitration Lawyers Blog

Northstar Financial Services (Bermuda) Ltd. is one of the dozens of firms in the US and abroad owned by businessman Greg E. Lindberg, now facing bankruptcy and other litigation. And investors are scrambling to recover their lost investments. Current estimates are that 1,773 Northstar account holders have potential claims totaling…

While allegations of Activision’s discriminatory and harassing culture have been in the news lately, it is of course far from being the only company scandalized by such reports. Let’s take a look at how some other companies have been impacted by similar allegations…. Wynn Resorts Gambling industry tycoon Steve Wynn…

For a bright shining moment, it looked like WeWork was going to be the Starbucks of office space—a worldwide company offering shared drop-in workspaces that people could rent for short or long-term. But lawsuits relating to sexual harassment filed before WeWork’s Initial Public Offering hurt the burgeoning company’s reputation. More…

The law is clear on this point: If you are a whistleblower who reports a possible violation to the Securities and Exchange Commission (SEC), the company cannot retaliate against you. For example, as stated in the Dodd-Frank legislation that created the SEC whistleblower program, “No employer may discharge, demote, suspend,…

Under the law, the Securities and Exchange Commission (SEC) can investigate and enforce violations of the nation’s securities laws. On the agency’s website, the SEC provides examples of conduct it is “interested in,” such as Ponzi schemes, insider trading, bribery of foreign officials, and false or misleading statements about a…

Last September, the Wall Street Journal first broke the story: The Securities and Exchange Commission (SEC) was investigating Activision Blizzard Inc., relating to allegations of how the company had been handling allegations of sexual harassment and gender discrimination. The SEC was reportedly looking into allegations made against Activision, asking for…

When a registered FINRA broker dealer employs financial representatives, they have an obligation to supervise their brokers and employees so that they are compliant with both the firm’s rules and with FINRA’s. Broker dealers are required to maintain adequate oversight to ensure that the people who work for them are…

NBC 6 in Miami recently published an article about the alleged MJ Capital Funding Ponzi scheme and how to spot Ponzi schemes and other investment fraud. Silver Law Group represents victims of MJ Capital through a class action lawsuit, and routinely represents victims of Ponzi schemes and investment fraud. The…

According to FINRA Disciplinary actions for December 2021, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS   William Friedman…

According to FINRA Disciplinary actions for December 2021, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules. However, these individuals remain bound by…