The Securities and Exchange Commission today charged Payward Ventures, Inc. and Payward Trading Ltd., both commonly known as Kraken, with failing to register the offer and sale of their crypto asset staking-as-a-service program, whereby investors…
Disclosing their agreement to pay $125 million to the Securities and Exchange Commission (SEC) $125 million and $75 million to the Commodity Futures Trading Commission $75 million “to resolve record-keeping related investigations by those agencies relating to business communications on messaging platforms that had not been approved by the Firm,” in an SEC regulatory filing, …
Morgan Stanley Fined $125 Million By SEC For Employee Communications Read More »
Four Stifel, Nicolaus & Co. (SF) clients were awarded $1.5M in compensatory damages in their Financial Industry Regulatory Authority (FINRA) arbitration case against the brokerage firm. The claimants also stated that Blumberg mismarked transactions and encouraged Them to add more positions even as they were losing money. They are alleging another: Breach of fiduciary duty …
You may feel overwhelmed by the urgency to get a good lawyer when you figure out you need legal assistance. Relax. You may initially feel intimidated, but it’s not so difficult. Use the advice here to learn what steps to take. Always know how to get a hold of your lawyer should you need him. …
Successful Experts Share Their Advice On Lawyers With You Read More »