Artificial intelligence (AI) is the “latest and greatest” when it comes to technological advancements – and consumers are increasingly intrigued by the way that AI can be harnessed to their benefit. That has a lot of companies jumping on the AI bandwagon – but not all...
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FINRA And SEC Investigations
Understanding disgorgement
When a person or organization is found guilty of obtaining funds through illegal or unethical means, the consequences can include fines and other sanctions and even prison time. They’re typically required to “disgorge” or repay the money they improperly received...
Why is insider trading illegal?
You know well that insider trading is illegal, and you're not allowed to make trades based on proprietary information that you have access to before the general public. Doing so would give you an advantage in making your trades because you would know if the price was...
Examples of securities fraud that often leads to an investigation
As you probably know, New York City is arguably the most important financial hub in the United States. Every day, Wall St. investors trade in securities, usually with little or no legal issues. However, some actions by investors attract the interest of securities and...