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December 6, 2011
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Blog, Securities Fraud
In October of this year the Financial Industry Regulatory Authority (FINRA) submitted to the Securities and Exchange Commission (SEC) a proposal for a new rule, Rule 5123, which would have an impact on the offering of private placements. FINRA’s proposed Rule 5123, according to SEC documents, “would require that
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January 21, 2011
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Blog, Securities Fraud
Private Placements have become a hot button issue for FINRA regulators and securities attorneys representing investors. The number of private placement cases has spiked considerably over the past few years in large part because of the sizable commissions brokerage firms generate from selling private placements. We
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