Stockbroker Misconduct and Investment Fraud Blog

Crowdfunding Growth Poses Challenges

Crowdfunding Growth Poses Challenges

Crowdfunding Growth Poses Challenges Crowdfunding is a means of raising funds outside of the traditional fundraising platforms of banks and investment banks. Crowdfunding emerged out of the 2012 JOBS Act. This form of fundraising generally allows...

SEC Plans to Investigate ETFs

SEC Plans to Investigate ETFs

SEC Plans to Investigate ETFs The Securities & Exchange Commission (SEC) announced this week that it plans to look into how exchange-traded funds (ETFs) operate, leading some to believe that new rules and enforcement actions may be on the...

Puerto Rico Defaults on Bond Payment

Puerto Rico Defaults on Bond Payment

Puerto Rico Defaults on Bond Payment Puerto Rico defaulted on nearly $174 million of a $1 billion payment that was due on Monday, January 4, 2016, paying higher-ranking creditors at the expense of lower ranking ones. The island continues to...

SEC Seeking Private Investor Standard Updates

SEC Seeking Private Investor Standard Updates

SEC Seeking Private Investor Standard Updates The Securities & Exchange Commission (SEC) has released a staff report outlining potential changes to the criteria used to determine who can participate in private securities transactions as an...