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BrokeAndBroker.com Blog by Bill Singer Esq WEEK IN REVIEW

August 27, 2022

https://www.brokeandbroker.com/6616/aegis-frumento-insecurities-drgn/
On August 16, the SEC filed a Complaint against Dragonchain, Inc. its affiliated companies and its founder, Joe Roets alleging that they sold unregistered securities. Allegedly, Dragonchain first raised $1.4 million in a pre-sale of DRGNs to 68 members of a crypto investment club, and in October /November 2017, raised $12.3 million from about 5,000 investors in an initial coin offering. In response to the SEC Wells Notice, Roets proclaimed "I am Joe Roets. I am not a lawyer nor venture capitalist. I am a software engineer, businessman, entrepreneur, husband, father, and patriot." Guest blogger Aegis Frumento Esq. got a chuckle out of Roets response, and the veteran industry lawyer shares his thoughts on how things unfolded.

https://www.brokeandbroker.com/6627/ford-jackson-national-10cir/
Shameful. Disgraceful. Disgusting. Those are my reactions when reading about La'Tonya Ford's employment at Jackson National. Yes, many of her allegations involve incidents well over a decade old -- frankly, I don't care. It should not have taken this long for Ford's case to percolate through the judicial system, whether her allegations prove true or not. This is not justice. This is an ordeal. I commend my readers to the 10th Circuit's superb Opinion, which methodically address each and every argument and the components of proof attached, and does so with great patience and in a convincing manner.

https://www.brokeandbroker.com/6624/finra-ameriprise-silverman-eccelston/
Today's blog considers a Respondent who contested repayment of a promissory note to a former employer. When that contest went down in flames, the Respondent argued that his former arbitration lawyer was negligent in allegedly failing to tell him that the note-holder's lawyer said that the proposed defense against repayment of the note had a low rate of success. Okay, sure, you could argue that and the losing party did. Read today's blog to see how the legal malpractice claims fared.

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