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New FINRA sweep targets crypto marketing

USA - November 16 2022 As might be expected, FINRA appears to be aligning itself with the SEC in its assertion of jurisdiction over investments that may not, at the end of…

Compliance Tips: Broker-Dealer and Adviser Use of Personal Devices

USA - October 17 2022 Now that the dust has settled on the SEC’s enforcement action against fifteen (15) broker-dealers and an investment adviser for violations of SEC…

Issa J. Hanna, Clifford E. Kirsch, Michael B. Koffler

States collide on unclaimed property at the Supreme Court

USA - October 5 2022 The US Supreme Court heard arguments on October 3, 2022 on an unclaimed property case for the first time since the early 1990s. The case, Delaware v…

Wilson G. Barmeyer, Bianca R. Spinosa, Mary Jane Wilson-Bilik, John Allen Zumpetta

Enforcement appears as messages disappear part II: Steep penalties imposed in personal messaging cases

USA - October 4 2022 On September 27, 2022, 15 broker-dealers and one investment adviser agreed to pay more than $1.8 billion in total civil penalties to the US Securities…

Michael Bahar, Andrea L. Gordon, Issa J. Hanna, Alexander S. Holtan, R. Michael Sweeney, Jr., Clifford E. Kirsch, David T. McIndoe, Sarah E. Paul, Adam C. Pollet, Brian L. Rubin

At last, a California Voluntary Compliance Program for unclaimed property

USA - August 24 2022 The California State Legislature has passed legislation giving the Controller the green light to establish a California Voluntary Compliance Program…

Wilson G. Barmeyer, Bianca R. Spinosa, Mary Jane Wilson-Bilik, John Allen Zumpetta