SEC Charges DJ Khaled and Floyd Mayweather, Jr. with Securities Act Violations

The SEC charged DJ Khaled and Floyd Mayweather, Jr. with violations of the Securities Act, and imposed sanctions. This case is a great reminder to us to be cautious about heeding recommendations made in social media by celebrities, as those advertisements may not be altruistic, and may not disclose the financial compensation given the celebrity for making the postings on social media.

What is the Form U5?

What is the Form U5, and what does it do? Those are common questions, and attorney Joel Beck answers those in today's post and video. Check for subsequent posts continuing this series to help you understand the Form U5.

News for Former Wells Fargo Bankers and Analysts Fired or Under Investigation Over Meal Expenses

Wells Fargo has reportedly terminated several investment bankers and analysts over issues regarding the after-hours meal expense policy, and are investigating many others for issues with this policy. If you've left Wells Fargo after an internal review into this matter, you need to prepare for a regulatory investigation by FINRA, as they look to determine whether there have been any rule violations for which enforcement action is appropriate. We've got critical information for those affected by these terminations.