TALG’s Post

Earlier this year, the SEC charged 16 firms with widespread failures to maintain and preserve electronic communications, resulting in over $81 million in penalties. This significant enforcement action highlights the critical importance of compliance in the securities industry. At The Frankowski Firm, we emphasize the importance of rigorous adherence to regulatory requirements. Compliance is essential to protecting investors and maintaining market integrity. Read our latest blog post to learn more. #thefrankowskifirm No representation is made that the quality of the legal services to be performed is greater than the quality of legal services performed by other lawyers.

Investment Advisers continue to face the risk of penalties for non-compliance in adhering to the SEC rule of documenting all business communications, regardless of the medium of communication. In this blog post, Jacko Law Group explores major points of concern in meeting compliance in Business Communications, and the steps to address the gaps in compliance. https://hubs.ly/Q02yTT9L0 #businesscompliance #sec #offchannelcommunications #jackolg

Securities litigation is a specialized area of law that addresses disputes involving financial investments, including cases of fraud, misrepresentation, and breaches of fiduciary duty. It serves as a critical legal mechanism for protecting investors, ensuring market integrity, and holding parties accountable for unlawful or unethical behavior in the securities industry. https://lnkd.in/gzHnQzXJ #trustedsecuritieslawyers #bhseclaw

Curious about recent case law surrounding SEC Rule 10b-5. How are courts interpreting "material information" in the context of securities fraud? Any legal experts willing to share their insights or relevant cases? #SEC #Rule10b5 #securitieslitigation #legaltrends

Securities Litigation Defense Team: Protecting Financial Professionals from Legal Challenges Are you a stockbroker or financial advisor facing allegations of fraud or misconduct? Understanding the gravity of FINRA and SEC enforcement actions is crucial for protecting your career and reputation. https://lnkd.in/g7b9SfiD #SEClawyers #bhseclaw #FINRA

Los Angeles Securities Fraud Attorneys: Protecting Your Investments Securities fraud can disrupt your financial stability and leave you feeling helpless. If you’ve been misled or deceived in an investment, understanding your legal rights is crucial. #investmentfraudlawyers #investorprotection #bhseclaw https://lnkd.in/gH2bDQaV

🚨 What is the Corporate Transparency Act (CTA)? 🚨 The CTA is a new law requiring most U.S. businesses to disclose their beneficial ownership information to the Financial Crimes Enforcement Network (FinCEN). This is a big deal for business owners—stay tuned as we break down what this means for you! 👀 Visit our website if you have questions. CTA-Law.com #CorporateTransparencyAct #BusinessCompliance

Theta Lake's Marc Gilman is featured in Bloomberg Law discussing how self-reporting enabled two financial services firms to ultimately avoid SEC charges and offers some practical advice on self-reporting for compliance officers. Read the article here ➡️ https://thtl.ke/4eJwnx0 #Compliance #FinServ #SEC #Selfreporting

BLB&G Partner Jesse Jensen and Associate Tom Sperber recently analyzed the impact of the ongoing AmTrust securities fraud litigation on investors and public accounting firms in Law360. #legalnews #financialreporting #litigation Read more: https://bit.ly/4i7ue0a

Theta Lake's Marc Gilman is featured in Bloomberg Law discussing how self-reporting enabled two financial services firms to ultimately avoid SEC charges and offers some practical advice on self-reporting for compliance officers. Read the article here ➡️ https://thtl.ke/4eJwnx0 #Compliance #FinServ #SEC #Selfreporting