Recent Insider Trading Case at Amazon Offers Useful Reminders for Compliance Departments

Not even the world’s fourth-largest company by market capitalization is immune to the hazards of employee insider trading.

On September 28, 2020, the Securities and Exchange Commission Exchange Commission charged a former senior manager in Amazon.com Inc.’s tax department and two of her family members with insider trading for a scheme that lasted 2 ½ years.

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Nine Considerations for Mergers and Acquisitions

The COVID-19 pandemic has had a widespread impact on businesses of all sizes, with some companies forced to cut operations, limit hours or reviewing other strategic alternatives.  Many distressed companies are considering all options to relive the pressures, which include raising operating capital, downsizing office space, laying off staff, and/or applying for Small Business Association Loans or other loans.… Read More

What Transitioning Advisors Need to Know About Broker Protocol

Jacko Law Group, PC (“JLG”) continues to see a high volume of financial advisors transitioning from one broker-dealer or registered investment advisory firm to another.  When advisors[1] change firms in the heavily-regulated financial industry, they and the firms they are joining must understand federal and state laws, as well as contractual limitations and how those considerations will factor in to the transition process.… Read More

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