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  • Blog: Waller Law BlogSEC Chairman Issues Personal Statement on ICOs in Wake of SEC Enforcement ActionsPosted on December 12, 2017 by Marc J. Adesso
    On December 11, 2017, the SEC’s Cyber Unit issued a cease and desist order halting an utility token-based initial coin offering (“ICO”) one day after the launch of the ICO. On the same day, SEC Chairman Jay Clayton issued a personal statement stating that Mr. Clayton believes that ICOs “can be effective ways for entrepreneurs and others to raise funding, including for innovative projects,” while simultaneously
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  • Blog: MMM Tech Law & Business ReportSE Tech Podcast Ep. 48 – Intrinio with Rachel CarpenterPosted on December 11, 2017 by Admin
    We speak with Rachel Carpenter from Intrinio, a financial services organization that provides affordable and accessible financial data for developers and investors. Intrinio is headquartered in St. Petersburg, FL. https://intrinio.com/
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  • Blog: Broker-Dealer Law CornerFINRA Examiners Are Like A Box Of Chocolates . . .Posted on December 4, 2017 by Michael Gross
    Michael discusses the differences in examiners — and, potentially — examination results from District Office to District Office.  Remember, however, that such differences aren’t supposed to exist!  That’s why the Office of Disciplinary Affairs exists.  I suppose the question is whether the ODA is doing its appointed task of achieving consistency throughout FINRA. – Alan My...… Continue Reading
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  • Blog: TSMP ForefrontHousing The MillennialsPosted on December 4, 2017 by
    Understanding the Gen Y mindset is crucial to riding the next wave of property sales.
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  • Blog: Antitrust UpdateIndirect Purchasers Cannot Sue Qualcomm Under Federal Law, But State Law Claims SurvivePosted on November 21, 2017 by Kathrina Szymborski, Jonathan H. Hatch
    A federal judge in California has refused to allow indirect purchasers of semiconductor chips—i.e., cell phone consumers—to bring claims against Qualcomm under federal antitrust law. Plaintiffs allege Qualcomm’s patent licensing practices are anticompetitive and constitute an abuse of Qualcomm’s dominant position in the supply of semiconductor chips. As a result of these practices, plaintiffs say, [...]
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  • Blog: Global Capital Markets LitigationSecond Circuit Affirms $806 million Judgment Against Nomura and RBSPosted on October 20, 2017 by Meg Slachetka and Carly Coleman
    Last month, the U.S. Court of Appeals for the Second Circuit upheld a 2014 ruling holding issuers of residential mortgage-backed securities (RMBS) liable for securities fraud. In the opinion by U.S. Circuit Judge Richard C. Wesley, the court emphasized the policies underlying the passage of the Securities Act of 1933 and related state laws, which aim...… Continue Reading
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