• Rex Securities Law Investigates VSR Financial Services Broker in Seattle, Washington

    Seattle, Washington Rex Securities Law is investigating VSR Financial Services broker Robert M. Hinz, Jr. of Wealth Enhancement Strategies in connection with the sale of annuities, real estate securities, options, limited partnerships and direct investments in oil & gas investments. According to FINRA records Hinz was named in a FINRA arbitration in 2013 (#1-368) by a c ...

    Rex Securities Law- 6 readers -
  • What to Expect In 2016 Examinations

    From the Desk of Jim Eccleston at Eccleston Law LLC: In considering the priorities for the upcoming year, The Office of Compliance Inspections and Examination (OCIE) of the SEC seeks to prevent potentially heightened risk for investors and the market in general. After consulting Commissioners, senior staff in SEC regional offices and divisions, and fellow regulators, OCIE de ...

    Eccleston Law Offices- 6 readers -
  • Seeking Oil Industry Whistleblowers

    New Opportunities for Oil Industry Whistleblowers Recently we received a call from a gentleman who claims that U.S. oil companies are paying massive bribes in certain countries in the hopes of obtaining favorable treatment. We know that activity routinely occurs in certain South American countries be we haven’t heard of U.S. companies engaged in this behavior.

    Due Diligence- 6 readers -
  • LegalTech NYC 2016: Best Swag Edition

    As another year passes, another LegalTech NYC. And as is tradition, the post you’ve been waiting for – the third annual LegalTech NYC Best Swag article. For the past few years, I’ve realized there isn’t much to say about LegalTech for solos and small firms – it’s a conference with some CLEs and some exhibitors primarily geared towards an audience of Biglaw and in-house counsel.

    Andrew Cabasso/ Jurispage- 7 readers -
  • Compliance Officers: Heroes or Targets?

    Compliance Officers: Heroes or Targets? February 6, 2016 by Brian Mahany Compliance officers are getting a lot of press these days. Not all of it good. A series of recent enforcement actions found individual compliance officers personally liable for the misdeeds of their company. A recent Wall Street Journal article says that some folks are so frightened that they are leaving the profession.

    Due Diligence- 9 readers -
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