Financial Services Law Lawyers in the USA
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Financial Services Law Lawyers USA - Recent Legal Articles
- Crowdfunding, Crowdinvesting, Kickstarter, and the JOBS Act
by HG.org
In 2012, the US federal government passed a bill called the JOBS act. Among its provisions was one allowing for small investments in exchange for equity in that company or project without having to go through the SEC or qualify as an investor. What is the difference between crowdinvesting and crowdfunding, what is Kickstarter, and how does it all work from a legal standpoint?
- The OTCBB – an Obsolete Marketplace
The OTC Bulletin Board (“OTCBB”) is an electronic quotation system that provides real-time quotes, last-sale prices, and volume information for some over-the-counter securities not listed on a national securities exchange such as NASDAQ.
- Bogus State Court Actions Used in $28 million fraud Lead to Indictments
Bogus State Court Actions Used in $28 million fraud Lead to Indictments
- Outsourcing of AML Compliance: How Far Can a Financial Institution Go?
Several banking giants, such as HSBC and Standard Chartered, are currently being investigated by US regulators for alleged failings in anti-money laundering (AML) compliance. All fingers point to lapses involving outsourcing units operating without adequate oversight.
- New York PLLC
by Murray LLP
PLLCs (Professional Service Limited Liability Companies) are a popular choice for professionals in New York wishing to conduct business.
- Hedge Funds: The Role of Directors in the Life Cycle of a Fund - Cayman Islands
by Murray LLP
The board of directors play a central role in any offshore hedge fund. At every stage of the life cycle of a hedge fund the directors need certain critical information and documents in order to perform their duties. The life cycle can roughly be determined as the fund formation stage, the post launch operation (which might last several years) and then the eventual liquidation.
- Form PF: Essential Guide - August 2012
by Murray LLP
Some of the largest hedge fund managers will shortly make their initial filing for the Form PF, on August 29, 2012. This guide will recap on the previously announced and finalized Form PF obligations and provide an update on the most recent developments.
- Hedge Funds and Data Protection
by Murray LLP
Hedge funds are increasingly subject to international and local data protection regulations. The amount of personal data held by hedge funds and service providers continues to grow. As obligations to collect data increases with new regulations such as FATCA hedge fund managers and other service providers must pay attention to data protection laws and regulations.
- CFTC - Temporary Relief No Action Letter
by Murray LLP
The CFTC has issued a no action letter providing temporary relief for Commodity Pool Operators (CPOs) and Commodity Trading Advisors (CTAs) who are affected by the recent changes to the CFTC registration exemptions. The no action letter extends the deadline for registration for those affected by the recission of CFTC Rule 4.13(a)(4) and the amended Rule 4.5.
- Claims Against PFG Brokerage Scandal
by Cates Law
If you have a brokerage account with Peregrine Financial Group Inc. (PFG) and lost money due to their alleged falsification of bank statements, we may be able to help you recover some or all of your money through legal action. On Tuesday, July 10, 2012 PFG filed for bankruptcy protection. We are seeking clients who lost money with either MF Global or PFG.


