Analysis of cutting-edge securities industry issues
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
Like many others, my interest in the JOBS Act really started with crowdfunding. This is probably because securities law is an imposing tangle of archaic acts, byzantine regulations and repetitive…
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
The SEC scored a victory in a Michigan federal court when the court refused to lift an asset freeze so that a private equity manager could pay for its legal…
Continue Reading Private Equity Firm Denied Lifting of Asset Freeze
In a recent FIRNA arbitration decision, a firm suffered a set back when it was unable to recover damages on a promissory note.
One of the interesting facets of this…
As I have described in my previous two blog entries, where I discussed the retention and preparation of an expert report and deposition, this blog entry concludes with a discussion…
Continue Reading Participating as an Expert Witness at a Securities Trial
Recently, an unregistered broker-dealer was able to retain its finder’s fees in a lawsuit brought by a SEC Receiver. The Receiver was appointed as a result of an SEC action…
In my last blog, I spoke about preparing my expert report. This blog discusses my expert witness deposition.
After several months, I was called upon to provide a deposition. Unbeknownst…
Continue Reading My Deposition as a Securities Expert Witness
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…
Recently, Judge Pauley of the United States District Court for the Southern District of New York harshly criticized the SEC’s management of a private claims administrator, who was hired to…
Continue Reading SEC Blasted by Federal Judge Over Settlement Management
