Cox Padmore Skolnik & Shakarchy LLP
866-716-3813 Blog Contact
Menu

Securities Fraud Archives

Increased enforcement by SEC leading to more criminal charges?

Individuals who work in the field of securities should be aware that their actions may be more closely scrutinized than before. This is due to actions on the part of the Securities and Exchange Commission. A new report indicated that in 2013 the SEC worked to better enforce the rules and regulations in several areas. In addition to looking for financial fraud, it is also on the lookout for lapses in financial reporting and accounting.

Sale of internet stocks focus of SEC lawsuit against Mark Cuban

The federal government takes insider-trading very seriously. When it suspects the action is occurring, the Securities and Exchange Commission could file a lawsuit against the individuals believed to be involved. Many throughout the nation, including those residing in New York City, are likely paying attention to the SEC lawsuit billionaire Mark Cuban is facing. Those who do not know him as a former contestant on Dancing with the Stars, may recognize that he is the owner of a professional basketball team. He also regularly appears on anther reality program, "Shark Tank."

Avon's legal matters involving the SEC continue

Avon has come a long way since its inception. While undoubtedly some of the changes it has encountered along the way are positive for the business, there are likely some that those in charge of the business would prefer go away. One of those things is the bribery probe the Securities and Exchange Commission has been conducting into the business' operations. The SEC has invested five years and an unknown amount of money looking into the securities matter. 

Case dismissed against executive facing SEC lawsuit

Those who work in financial institutions are likely aware of the seriousness of consequences related to convictions tied to violations of securities laws. When violations of such laws are alleged, they may be leveled against a variety of individuals tied to a business including executives. These cases are generally complex and may be resolved in various ways to avoid a criminal trial including mediation, negotiation and arbitration.

New York man arrested for securities fraud

The area of securities regulation is complex. Accordingly, it makes sense that defending oneself against the criminal allegations of securities fraud would also be a complex endeavor. A New York man who formerly worked as a managing director at an investment banking firm is likely learning this firsthand.

US Court Makes it Easier for SEC to Allege 'Aiding' in Securities Fraud

A recent decision by the Second Circuit Court of Appeals in New York will make it easier for the U.S. Securities and Exchange Commission (SEC) to bring charges against someone for aiding or assisting in securities fraud - further exposing those involved in the already heavily regulated industry to additional criminal liability.

Supreme Court Denies Review of Payouts for Madoff Victims

Securities regulation is a complex area of law and with the introduction of more advanced technology almost every day, it is very difficult to prevent exposure to liability in the securities trading industry. These regulations can impact anyone from an individual broker to an entire financial institution.

Consult Our Skilled, Pragmatic Manhattan Commercial Litigation Attorneys

Tap To Request An Exploratory Consultation ยป

Entrepreneurial, Corporate and Individual Legal Services For Domestic And International Clients

To Request A Consultation By Phone, Call: 917-512-4332 (NY/NJ) | 917-512-4332 (CO) | 866-716-3813 (Toll Free)

New York Office
630 Third Avenue 19th Floor
New York, NY 10017

Toll Free: 866-716-3813
Phone: 917-512-4332
New York Office Map

Great Neck Office
98 Cutter Mill Road, Suite 310N
Great Neck, NY 11021

Toll Free: 866-716-3813
Phone: 917-512-4332
Great Neck Office Map

Hackensack Office
27 Warren Street, Suite 304
Hackensack, NJ 07601

Toll Free: 866-716-3813
Phone: 917-512-4332
Hackensack Office Map

Denver Office
1060 Humboldt Street
Denver, CO 80218

Toll Free: 866-716-3813
Phone: 917-512-4332
Denver Office Map