It is almost axiomatic that the SEC “enjoys” bringing enforcement actions against lawyers. The SEC believes that lawyers have a special duty to protect and police the securities markets, and, when a lawyer fails, the SEC is right there to pounce.
In fact, the SEC fined and barred an attorney from practicing before the Commission
We strongly encourage you to read the article profiling our firm and partners, Mark Silow (also our firm Chairman) and Joshua Horn, on Fox’s Cannabis Practice Group. See https://bol.bna.com/why-fox-rothschild-is-still-banking-on-its-cannabis-practice/. No, sorry, Fox does not offer free samples, but, if you are interested in this emerging area, Josh is available to discuss.
Although the Broker Protocol has alleviated some concerns, many firms still find themselves wrestling with the vagaries of restrictive covenants when dealing with their employees. Fox Rothschild has produced this revised and updated 50-state survey as a quick reference for in-house counsel and human resource professionals to access details on the variations by state in
Given the start of the NFL season and the post-Labor Day last leg of the presidential campaign season, it reminded me of a blog entry that I posted in August 2012, regarding picking a winner for the then presidential race based upon the conference of the team that won the Super Bowl in the year
Not too long ago, I tried a case that had, among other issues, the improper use of the advisor’s personal email account. That improper use serves as a valuable lesson of what can go wrong when you deviate from using the firm approved email.
The client emailed complaints about the handling of the account to
The U.S. District Court for the Southern District of New York dismissed a New York law malpractice and fraud claims by convicted inside trader Winifred Jiau against her former attorney. See Jiau v. Hendon, http://www.bloomberglaw.com/public/document/Jiau_v_Hendon_Docket_No_112cv07335_SDNY_Sept_28_2012_Court_Docket.
Prosecutors contended that in her role as an employee of an expert network company, Jiau obtained inside information
The number of cases brought by the SEC against attorneys under its Rule of Practice 102(e) will continue to climb.
In the wake of the Sarbanes-Oxley Act of 2002 and the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010, the number of SEC cases against attorneys, pursuant to Rule 102(e) or through cease-and-desist
A firm faced with a regulatory investigation should hire outside counsel to bring objective analysis to the situation. Although it may seem simple, the question that must first be addressed is who the lawyer represents.
If the firm itself is the subject of the inquiry, then the firm needs representation. However, that same lawyer should
We routinely report enforcement actions directed against lawyers because it simply never goes away. Attorneys are a major target for federal and state securities regulators. Regulators salivate over “getting” attorneys, because they receive notoriety and money from the attorney’s malpractice carrier for investors.
Additionally, the SEC’s new cooperation initiative may result in even more enforcement
We want to congratulate our outstanding IP partners, Gerry Norton and Janet MacLeod, on being named “Life Sciences Stars” by LMG Life Sciences 2013. See http://emarketing.foxrothschild.com/rs/vm.ashx?ct=24F7661EDEE20AEDC1D089A5D1289611D4BE7BB3D38714DD4CF371647BF8D90DDD78031