Analysis of cutting-edge securities industry issues
For those who believe that the Garden State’s greatest contribution to the securities industry is that Snooki of Jersey Shore fame does not practice in the field, think again.
In…
Continue Reading Hooray for New Jersey!!! More RIAs mean more work for Regulators
Recently, the Department of Justice and the Federal Bureau of Investigation indicated that they are working on enough insider trading cases regarding the hedge fund industry to take them five…
Continue Reading Lawyer Full Employment Act – Insider Trading, Hedge Funds and the FCPA
Our partner, Miguel Pena, has put together a comprehensive guide on Delaware Trusts in an easily understood format. The guide is attached for your use. Contact Miguel with any questions.Continue Reading Delaware Trust Guide– A Must Have for Those Working in Delaware
The SEC approved a number of rule changes promulgated by the MSRB to facilitate risk-based examinations for participants in the municipal securities industry. These municipal securities industry participants are, generally, FINRA…
Continue Reading MSRB Rules Changes Allow For Risk-Based Exams
Late last week, one of my colleagues sent me an e-mail where he copied 8 other people, half of them I could not identify if my life depended upon it. I then…
Continue Reading PSST!!! Want to Save Money on Your Legal Bills? Read on. . .
Although the use of social media has been embraced by many industries, it is of particular concern for investment advisors and broker-dealers.
In many situations, the use of these outlets…
Continue Reading Investment Advisors and Broker-Dealers Use of Social Media – Beware!!
The Securities Industry and Financial Market Association (“SIFMA”) indicated to its membership that those who engage expert networks – entities referring paid industry professionals to third parties for fees &ndash…
Continue Reading SIFMA Tells its Membership Be Careful with Expert Networks
My colleague, Josh Horn, has written an amazing article that should be on every compliance officer’s desk. It details methods for investigating and responding to ponzi schemes.
In this day…
Thought you might be interested in a recent podcast I did concerning my securities law practice. http://web.me.com/cordpar/Client_Development_Tips/Law_Consulting_Coaching_Podcast/Entries/2011/10/28_Developing_a_Securities%2C_White_Collar_and_Complex_Litigation_Practice.htmlContinue Reading Securities Podcast with Ernest Badway
Recently, a bipartisan bill was introduced in the United States Senate that would require states to obtain the identity of persons who act behind corporations. Essentially, this legislation would end…
Continue Reading Potential Federal Legislation to Register Behind the Scenes Corporate Principals
