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U.S. Department of Justice Issues Indictment Against BitMEX Crypto Currency Exchange Executives

U.S. Department of Justice Issues Indictment Against BitMEX Crypto Currency Exchange Executives

by Broker Fraud | Dec 30, 2020 | Investment Fraud, Securities Fraud

The United States District Court for the Southern District of New York on October 1, 2020, unsealed a criminal indictment against four BitMEX executives for violations of the U.S. Bank Secrecy Act (BSA).1 It is a move that is noteworthy in that the “Department...
SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office

SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office

by Broker Fraud | Nov 19, 2020 | Securities Fraud, Securities Litigation

This past summer, many investors received what looks like a form letter in the mail from their investment firms. At first glance, many investors may have been tempted to pitch that form letter in the recycling bin without thoroughly reading the contents. If the letter...
Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI

Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI

by Broker Fraud | Oct 31, 2020 | FINRA Arbitration, Securities Fraud

Concorde Investment Services in Livonia Proposes to Settle FINRA Allegations of Failure to Supervise a Registered Representative A Livonia, Michigan, Financial Industry Regulatory Authority (FINRA) member, Concorde Investment Services, LLC, submitted a Letter of...
Morgan Stanley Fined by FINRA | MI Securities Law Office

Morgan Stanley Fined by FINRA | MI Securities Law Office

by Broker Fraud | Aug 26, 2020 | FINRA Arbitration, Securities Fraud

Morgan Stanley Fined by FINRA for Failing to Supervise a Registered Representative There are some investments that because of their upfront sales charges are only advantageous to investors if they are held for a long-term. On August 12, 2020, the U.S. Financial...
SEC Files Fraud Charges Involving NAC Foundation / AML Bitcoin – MI Securities Law Firm

SEC Files Fraud Charges Involving NAC Foundation / AML Bitcoin – MI Securities Law Firm

by Broker Fraud | Jul 28, 2020 | Investment Fraud, Securities Fraud

Banks are subject to rules which require them to verify the identity of their customers. This is a problem for criminals who have large sums of cash from illegal activities. Increasingly, criminals have turned to cryptocurrency to launder their cash. Chainalysis, a...
SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm

SEC Settlement with Major Investment Firm Results in $5M Penalty – MI Securities Law Firm

by Broker Fraud | Jun 30, 2020 | Securities Fraud, Securities Litigation

SEC Settlement with Major Investment Firm Results in $5M Fund Benefitting Harmed Wrap Fee Program Investors Investment firm, Morgan Stanley Smith Barney, LLC (MSSB), recently settled charges brought by the U.S. Securities and Exchange Commission (SEC) that the company...
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Recent Posts

  • U.S. Department of Justice Issues Indictment Against BitMEX Crypto Currency Exchange Executives
  • SEC Form CRS: Why It Is Important to Review | Michigan Securities Law Office
  • Concorde Investment Services in Livonia to Settle FINRA Allegations | Securities Law Firm MI
  • Wells Fargo Sanctioned by FINRA for Not Supervising Employees | MI Securities Law Firm
  • Morgan Stanley Fined by FINRA | MI Securities Law Office

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