Parker MacIntyre
Legal Services Provided
Attorneys
Arbitration & Mediation, Broker Fraud and Securities
Administrative, Broker Fraud, Business and Employment
Administrative, Business and Securities
Arbitration & Mediation, Business and Securities
Arbitration & Mediation, Personal Injury and Securities
Administrative, Business and Securities
Business and Securities
Websites & Blogs
- Supreme Court Rules that SEC’s Ability to Seek Disgorgement is Subject to a Five-Year Statute of Limitations
13 June 2017 - SEC Charges Options Trading Instructor with Defrauding Investors in Private Funds
9 June 2017 - SEC’s Office of Compliance Inspections and Examinations Publishes Cybersecurity Alert Following Ransomware Attack
7 June 2017 - Firm and CEO Settle Charges with SEC for Ponzi-like Plot Relating to Life Settlements
23 May 2017 - SEC Charges Investment Adviser and his Advisory Firm with Making Fraudulent Misrepresentations to Prospective Investors and Clients
19 May 2017 - SEC Settles Charges with Barclays Capital for Overcharging Clients
18 May 2017 - Supreme Court Expected to Rule on Case Involving Potential Restrictions on SEC Disgorgement Remedy
11 May 2017 - DOL Action on Fiduciary Rule Makes Important Changes
28 April 2017 - FINRA Updates Sanction Guidelines
24 April 2017
- Private Placement Brokers Await Attention by SEC
6 June 2017 - SEC Adopts JOBS Act Inflation Adjustments for Title III Crowdfunding and Title I Emerging Growth Companies
25 May 2017 - On One-Year Anniversary of Reg CF, JOBS Act Author Urges Significant Revisions
24 May 2017 - States Begin to Adjust Exemptions as Effective Date for New Rule 147A Draws Near
16 February 2017 - SEC Adopts Final Rules Amending Intrastate and Small Offering Exemptions
30 November 2016
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