It is typical for investors to work with an investment brokerage firm and be assigned to a specific investment broker to assist them with their investment plans. Generally, working with an...
Non-fungible tokens, or NFTs, are the latest trend to hit the digital market space. These popular digital items appear in numerous forms like drawings, music, and downloadable images that serve as...
Receivership is a process that occurs when the Securities and Exchange Commission (SEC), the Federal Trade Commission (FTC), or the Consumer Financial Protection Bureau (CFPB) suspects a company or...
It is not unheard of for shareholders and investors to rely on investment brokers and investment firms for the management and possibility of growing their wealth and financial investments. These...
The term fiduciary duty is often mentioned in corporate documents, compliance discussions, newspaper headlines, and lawsuits. After all, it is an important concept that serves as a basis for...
SEC Rule 10b-5, otherwise known as the Employment of Manipulative and Deceptive Practices, serves as the primary basis for investigating security fraud allegations. This rule generally makes it...