Can investors bring a claim against Robinhood and other self-directed platforms for the recent purchase restrictions on GameStop, AMC, and other securities? The internet is buzzing with talk of class action lawsuits. Our office is fielding inquiries. But – from a claimants’ attorney perspective – there are high hurdles to overcome. The securities trading platform…
Continue reading ›Did you know – most stockbrokers and registered investment advisors (RIAs) are not required by law to carry errors and omissions insurance? Beginning July 31, 2018, with an amendment to the Oregon Securities Law, Oregon became only state in the nation to require certain state-regulated financial professionals to carry errors and omissions insurance. These financial…
Continue reading ›Current cryptocurrency regulation and cryptocurrency investment regulation can be summed up in one phrase: Regulation by Enforcement. I moderated a great panel presentation this weekend on Cryptocurrency Investments, Supervision and Securities Regulation at PIABA’s mid-year CLE event in Los Angeles on May 5, 2018. We discussed the current state of regulation as well as the…
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