South Florida Arbitration & Litigation Lawyer Blog

Securities and Exchange Commission v. Jerry S. Williams, Monk’s Den, LLC, and First In Awareness, LLC, 3:12-cv-01068 (District of Connecticut, Complaint filed July 20, 2012) July, 2012 SEC CHARGES STOCK PROMOTER IN INTERNET-BASED SCALPING SCHEME. The Securities and Exchange Commission recently announced that on July 20, 2012, it filed a civil fraud action against former…

Bid and Asked and Bid-Asked Spread: The purpose of this post is to provide the reader with a general description of the terms “bid and asked” and “bid and asked spread.” This post is being provided for educational purposes only. It is not designed to be complete in all material respects. Thus, the information provided…

Firm Commitment – Best Effort Offerings: The purpose of this post is to provide the reader with a general understanding of what the difference is between a firm commitment and a best efforts offering of securities to the public. This information is being provided for educational purposes only and is not designed to be complete…

Financial Planner: A financial planner is a professional who compiles and analyzes personal financial data and prepares a a proposed program to meet the financial needs and objectives of his client. The purpose of this post is to provide the reader with a general description of the type of individuals that may provide financial planning…