Braden Perry, a regulatory and enforcement attorney that works in areas of novel and emerging technology with a financial focus, was featured in Meeting Professionals International (MPI) article on the
Braden Perry, a regulatory and enforcement attorney that works in areas of novel and emerging technology with a financial focus, was featured in Finance Magnates year-end review on the regulatory
Today, The Commodity Futures Trading Commission (CFTC) announced today that Defendant Mark R. Slobodnik, operating as Blue Guru, LLC, was ordered to pay approximately $370,000 in fines in connection with
The founder of Wired Magazine, Kevin Kelly, observed that “The internet is the world’s largest copy machine.” This giant copy machine is easy to operate and explosively expands copying. In
‘Tis the season when students return to their classrooms, write their final papers and cram for exams. Students also face the additional worry of conforming to the rules and ethics
On November 6, 2018, the citizens of Missouri approved Amendment 2, legalizing medical marijuana. Missourians who wish to open medical marijuana dispensary facilities, cultivation facilities, testing facilities, marijuana-infused product manufacturing
Taglines — short phrases associated with a product – are important parts of marketing. There are many famous and effective registered taglines: “We try harder;” “Just do it,” “Double Your
The Department of Homeland Security (DHS) recently released a report entitled “Threats to Precision Agriculture” regarding Ag Tech. The report addresses the security threats related to the adoption and impact
The Securities and Exchange Commission recently announced that a Des Moines-based broker-dealer and investment adviser has agreed to pay $1 million to settle charges related to its failures in cybersecurity policies and procedures surrounding a cyber intrusion that compromised personal information of thousands of customers. This is the latest SEC action demonstrating that cybersecurity must be tailored to the practices of the business.
The SEC charged Voya Financial Advisors Inc. (VFA) with violating the Safeguards Rule and the Identity Theft Red Flags Rule, which are designed to protect confidential customer information and protect customers from the risk of identity theft. This is the first SEC enforcement action charging violations of the Identity Theft Red Flags Rule.
June 25, 2018 Update: The CFTC continued its actions against a Trading Strategy and Systems Scheme today, with a Consent and Default Order against Open Range Trading LLC (Open Range) with
On Tuesday, a Central District of California court dismissed the CFTC’s complaint against Monex Credit Company, et al., 17-01868, rejecting the CFTC’s controversial “actual delivery” argument set forth in CFTC
Recently, the CFTC filed an action against Kevin Scott Antonovich alleging from September 2015 through August 2016 he fraudulently solicited and received approximately $284,000 from at least 154 pool participants
