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Troutman Pepper

FINRA’s First Disciplinary Action Targeting Firm’s Use of Social Media Influencers

Troutman Pepper on

The Financial Industry Regulatory Authority’s (FINRA) Enforcement Division recently announced its first settlement involving a firm’s supervision of social media influencers. The respondent, M1 Finance LLC (M1), is a...more

Mayer Brown Free Writings + Perspectives

Broker-Dealer Settles FINRA Charges for Failures Relating to Use of Social Media Influencer Program

Mayer Brown Free Writings + Perspectives on

On March 18, 2024, FINRA announced that it has fined a broker-dealer $850,000 in connection with the firm’s program to pay individuals with followings on social media sites (i.e., “influencers”) to promote the firm in social...more

Polsinelli

Down for the Count: Prosecutors Aim for Knockout Sentence in Floyd Mayweather-Backed-ICO Case

Polsinelli on

Late last month, federal prosecutors in the Southern District of New York pushed for a heavy prison sentence against one of the founders of Centra Tech, Inc. (“Centra Tech”). As discussed earlier this year on the BitBlog,...more

Burr & Forman

SEC Charges Hip-Hop Artist and Boxer for Unlawfully Promoting ICOs

Burr & Forman on

On November 29, the Securities and Exchange Commission (SEC) announced in a press release that it has settled charges against two celebrities for promoting investments in ICOs without disclosing payments received for the...more

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