Securities Law Archives - Securities & Investment Lawyer

FINRA Rule 3310: Anti-Money Laundering Laws and the Threat to Securities Markets

Mar 30, 2022 Anti-Money Laundering

Anti-money laundering laws attempt to curb illicit transactions in the securities industry. Money laundering is one method criminals use to disguise the origins of their […]

What Can a Securities Attorney Do for Me?

Jun 19, 2021 FINRA Arbitration

The financial industry is built on trust. Unfortunately, brokers and brokerage firms often abuse that trust for their personal gain. Brokers should always act in […]

LJM Funds’ Management: E-mails Uncovered by the SEC Reveal Managers’ Campaign of Misinformation

Jun 19, 2021 Current Investigations

The SEC alleges in a May 2021 complaint that LJM Funds Management, along with LJM Preservation and Growth (a.k.a P&G Fund), suffered losses exceeding $1 […]