More in Legal

  • Oct 6, 2014
    blog

    The Daily Brief: Broker/Dealer Liable for Inside Trades

    The SEC has charged a broker/dealer for failure to protect against insider trading for the first time. The Wells Fargo broker, who had previously been charged, is accused of trading on material non-public information when he learned from a client that Burger King was bieng sold to 3G Capital Management....More
  • Oct 3, 2014
    blog

    The Daily Brief: Estate App

    Woody Levin developed an app that stores all digital passwords, financial accounts, health records, social media log ins, etc. and automatically release them to a designated individual when they verify your death with the service....More
  • Sep 4, 2014
    blog

    The SEC Needs to Fix the Problem It Created

    Investors are being deceived about the nature of the advice they're getting, and it's a problem the SEC has created, says investor advocate Barbara Roper....More
  • Aug 18, 2014
    blog

    The Blotter Report: Dirty Rotten Liars

    A self-titled financial coach is in trouble over some shady financial advice while a Missouri who took off over his con starting unraveling takes a plea deal....More
  • Jul 31, 2014
    blog

    Blotter Report: The Deathdealer

    A Los Angeles broker will pay for his role in bringing a whole new meaning to the phrase “death benefits.”...More

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