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- SEC Halts Ash Narayan from Defrauding RGT Clients
The Securities and Exchange Commission (“SEC”) announced that it obtained a court ordered “freeze” of the assets of three individuals, including Ash Narayan, formerly of RGT Wealth Advisors, who, the SEC alleges, siphoned millions of dollars from the accounts he managed at RGT for professional athletes and others while he was the manager of RGT Wealth Advisor’s Orange County, California office.
- Unfair Competition in California
California Law protects trade secrets, while restricting deceptive advertising and price manipulation. California is home to some of the strictest unfair competition laws in the United States. Governed by Section 17200 of the Business and Professions Law, and in conjunction with other state and federal laws, California works to eliminate unfair competition, and establish a fair and even playing field for business competition.
- Are Resale Price Maintenance Agreements Legal Under the Antitrust Laws?
The legality of resale price maintenance agreements under US antitrust law.
- How to Legally Fight Businesses that Are Posting Fake Good Reviews on the Internet
Recognizing the power of first-hand user experiences, some businesses flood review sites with positive reviews about their product or service by paying writers to manufacture this content. Rather than reading a real review by someone who has actually used the product or service, the consumer is duped by someone who has no contact with the product or service other than a paycheck.
- Do I Have a Lanham Claim Against My Competitor for False Advertising?
The elements that a party must prove to prevail on a Lanham Act Claim for False Advertising.
- The Colgate Doctrine and Other Alternatives to Resale-Price-Maintenance Agreements
Resale-price-maintenance agreements (or vertical price-fixing) are still illegal under the law of certain states. This article discusses alternatives to resale-price maintenance agreements that are less likely to violate the antitrust laws.
- Transitioning Broker Alert - FINRA Adopts New Comp Disclosure Rule
The Securities and Exchange Commission approved last week a new rule proposed by FINRA, the Financial Industry Regulatory Authority, which requires brokers departing one broker dealer for another, to send “educational information” to clients about their move to another firm and the financial compensation and incentives they will receive from the new firm for making the move.
- FINRA Investigations Under Rule 8210
It is every registered person’s nightmare. You receive a letter from a FINRA office notifying you that you are the subject of a FINRA investigation.
- What Are Monopolies and Why Are They Bad?
Aside from the board game, a lot of people may not really know what a monopoly is. They make their way into the news once in a while, but what does it really mean when something becomes a monopoly and why do we care? Everyone says they are bad, but why?
- Immoral But Not Always Illegal: Price Gouging After Natural Disaster
The recent floods in Colorado have brought a problem to the forefront: post-disaster price gouging. While 35 states have made this a crime, there are still 15, Colorado included, where this is merely considered capitalism.