Behind the Process: How an Enforcement Action Becomes an Enforcement Action http://feeds.finra.org/~r/FINRACompliancePodcast/~3/5DGNUTQ9CVY/behind-the-process-how-an-enforcement-action-becomes-an-enforcement-action-o4hRIxlR #seclaw#securitieslawyer
Has Bitcoin Just Gone Mainstream?
Has Bitcoin Just Gone Mainstream? The SEC reports that Tesla has invested $1.5 billion in bitcoin. The decision by figures like Elon Musk or important companies such as Tesla is simply one more step toward the normalization of cryptocurrencies. #securitiesattorney #seclaw #securitieslaw https://www.forbes.com/sites/enriquedans/2021/02/08/has-bitcoin-just-gone-mainstream/
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology | FINRA Unscripted
Encore | Augmenting the Exam and Risk Monitoring Program with Data Analytics and Technology http://feeds.finra.org/~r/FINRACompliancePodcast/~3/T5LFP9NeAAA/encore-augmenting-the-exam-and-risk-monitoring-program-with-data-analytics-and-technology-aZPruHLf #seclaw#securitieslawyer
Walgreens Revealed As Investor In Subsidiary Of Health Insurance Company Under Federal Investigation
Walgreens Revealed As Investor In Subsidiary Of Health Insurance Company Under Federal Investigation The pharmacy giant has been steering its customers towards SeekMedicare, which is under scrutiny from both the Department of Justice and the Securities and Exchange Commission. #seclaw #securitieslawyer #securitiesattorney https://www.forbes.com/sites/katiejennings/2021/02/12/walgreens-revealed-as-investor-in-insurance-company-under-federal-investigation/
Watch Live: GameStop Hearing On Market Manipulation
Watch Live: GameStop Hearing On Market Manipulation The billionaire founders of Robinhood and market-maker Citadel Securities are among those testifying. #securitiesattorney #securitieslawyer #seclaw https://www.forbes.com/sites/jonathanponciano/2021/02/18/watch-live-gamestop-hearing-on-market-manipulation/
Disney Cases Spotlights Danger, Roadmap for Whistleblowers
Sallah Astarita & Cox in the news, at Law.com and Daily Business Review:
Sandra Kuba, a senior financial analyst who has been with The Walt Disney Co. for nearly two decades, reported billions of dollars of alleged financial irregularities, and accused the financial arm of the publicly-traded entity of harassment and retaliation after she spoke out.And now attorney James Sallah, partner at Sallah, Astarita & Cox in Boca Raton and former senior counsel in the U.S. Security and Exchange Commission in Miami, said if Kuba’s allegations are true, the whistleblower complaint effectively laid out a blueprint to bring these types of cases to court.
James Sallah of Sallah Astarita & Cox, said if true, the allegations in the complaint, specifically of accounting fraud and deficiency of internal controls, could be the basis of federal securities law violations if they made their way into public documents and are known internally to be inaccurate.
Considering a whistleblower complaint? Call Sallah Astarita & Cox at 212-509-6544 to discuss that claim!
Reddit Trader Roaring Kitty Accused Of Fraud In The Latest Wild Lawsuit Coming Out Of GameStop Saga
Reddit Trader Roaring Kitty Accused Of Fraud In The Latest Wild Lawsuit Coming Out Of GameStop Saga One of Reddit’s most outspoken WallStreetBets traders is being sued for alleged securities fraud. #securitiesattorney #securitieslaw #securitieslawyer https://www.forbes.com/sites/jonathanponciano/2021/02/17/gamestop-saga-reddit-trader-roaring-kitty-accused-of-fraud-in-the-latest-wild-lawsuit/
SEC Charges Ratings Agency With Disclosure And Internal Controls Failures Relating To Undisclosed Model Adjustments
The Securities and Exchange Commission today filed a civil action alleging that former credit ratings agency Morningstar Credit Ratings LLC violated disclosure and internal controls provisions of the federal securities laws in rating commercial…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
Allison Herren Lee Named Acting Chair of the SEC
The Securities and Exchange Commission announced today that President Joseph R. Biden, Jr. has designated Allison Herren Lee as Acting Chair of the agency. “It’s an honor to continue my service on the Commission in this new role,” Acting Chair Lee…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
Small Business Capital Formation Advisory Committee Jan. 29 Meeting to Focus on Smaller Public Company Markets
The Securities and Exchange Commission today released the agenda for the Friday, Jan. 29 meeting of its Small Business Capital Formation Advisory Committee, which will focus on the experiences of smaller public companies and the Commission’s recent…
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.