FINANCES / BANKING / SECURITIES

Insider Trading Gap Closed
By Stuart Sinai  [Winter 2017]
The Supreme Court recently took on the issue of whether leaking information even for nothing in return, i.e., making a gift of material non-public information to a relative or friend, is sufficient to support a criminal conviction of both the tipper and the tippee.
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Attracting Investors: New Reg. A+ Offers or Private Venture Financing
By Stuart Sinai   [Summer 2015]
The raising of private funds from venture capital sources or individual investors have traditionally been undertaken by means of federal exemptions that have allowed offerings primarily to “accredited investors.” However, those offerings frequently limit who can invest, market re-sales and secondary market trading and provide no liquidity for investors.
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Insider-trading: “tips” can be dangerous to your freedom
By Stuart Sinai    [Winter 2013]
It may sound improbable but … Your good friend, a stock broker calls. He has information that could be valuable. Of course you’ve heard his puffery over the years and lost money each time. He attended a stock analysts dinner and sat next to a VP of finance of a NASDAQ company. After several drinks, the VP bragged about the results of his company and contrasted them to the disappointing earnings and revenue of a competitor, also a high-tech NASDAQ company. The VP had become aware of the news concerning the other company from an acquaintance in the accounting department of the other company who feared for his job and was looking to join the VP’s company.
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Investment losses – arbitration may work for you
By Stuart Sinai    [Summer 2011]
If it were just the bumps (actually cliffs we all fell over) in the market that caused us to lose substantial sums of money that would have been devastating enough but when those losses occurred in broker recommended investments that you now see you should have never been in at all, you feel foolish, outraged and cheated.
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Remain wary of Wall Street pirates
By Stuart Sinai    [Summer 2010]
More dangerous than Somalian pirates and Madoffian Ponzi schemes are CMOs, CDOs, CLOs, ARS, CDS, and SIVs. These “securities” are still weapons of choice of our Wall Street gangs (and too often our Main Street gangs).
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