Commodities Trading Charges: Understanding Federal Violations and CFTC Enforcement Trading commodities can be a great way for anyone to earn a strong return on investment. Similar to trading other public securities, there are a variety of laws in place that govern how you may trade commodities. Those that are suspected…
FINRA Defense: Understanding Your Rights and Options Dealing with a FINRA investigation can be stressful and intimidating. But it’s important to remember that you have rights and options for defending yourself. This article will walk you through the key things to know about FINRA defense so you can make informed…
FINRA Disciplinary Actions: Understanding Financial Industry Regulatory Authority Enforcement The financial industry, including the stock and commodity markets across the globe, is very complex and important. Those that are skilled in the field may find that there are investment opportunities that can give them an unfair edge on the rest…
SBA Fraud / PPP Loan Fraud Defense In March of 2020, the government instituted the CARES Act to help individuals and businesses to mitigate the economic impact of the COVID-19 pandemic. The PPP (Paycheck Protection Program) was an integral part of the CARES Act. It was implemented to help small…
Penalties Imposed on Businesses and Individuals There are a variety of penalties that might be imposed on businesses and individuals found in violation of the law in regards to the Paycheck Protection Program, or PPP. Fraud is the most common charge levied against entities and persons who improperly used these…