Increases Expected in Pandemic-Related Securities Litigation

Recent webinars and articles have centered around the issues the securities industry will confront as a result of the pandemic and market turmoil.  We have compiled relevant information from those sources and added our own observations based on our previous experience. Based on past market downturns, firms can expect a wave of litigation stemming from… READ MORE

SIFMA Compliance & Legal Annual Seminar

Oyster is proud to be a sponsor of the SIFMA  Compliance & Legal Annual Seminar.  Stop by Booth #403  – our consultants would love to learn more about your firm, and you can discover how Oyster can help. For 52 years, SIFMA’s C&L Annual Seminar has served as the preeminent event for compliance and legal… READ MORE

Securities Experts Roundtable – Annual Conference

Oyster’s Chief Legal Counsel Patrick M. Dennis will be attending the Securities Experts Roundtable (SER) in Minneapolis, MN.   SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization. Patrick M. Dennis has been involved in the securities industry for over 30 years, most recently as… READ MORE

SIFMA C&L Society St. Louis Regional Seminar

Oyster’s General Counsel Patrick M. Dennis will be attending the SIFMA C&L Society St. Louis Regional Seminar on June 18th. Patrick M. Dennis has been involved in the securities industry for over 30 years. Previously, Patrick was a Senior Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors), or its… READ MORE

Regulatory Actions – ICOs and Digital Trading

Regulators in the digital asset space are focusing a significant amount of attention to Initial Coin Offerings (ICOs) and digital asset trading.  Their activities have included addressing the lack of transparency of exchanges that trade digital assets, jurisdictional issues, and the need to consider registration or qualifying for an exemption for ICOs and cryptocurrency-related investments…. READ MORE

As Arbitration Cases Increase Expert Witness Demand Rises

The number of FINRA arbitrations continues to rise, with a 40% increase in new arbitrations in the last year, and a 29% increase from 2016. Of the thousands of cases filed each year the majority involve customer complaints. Because the matters in dispute often involve technical, industry-specific issues, the use of expert witnesses is increasingly… READ MORE

What is Digital Mining? – Behind the Distributed Ledger Curtain

What is Digital “Mining?” Blockchain or distributed ledger technology is a shared ledger, duplicated across a network of computers or operators of “nodes” on the network, typically referred to as “Miners”.   Blockchain secures the data using encryption and the decentralized manner of retaining individual records across a wide group of operators of nodes, so that… READ MORE