We all hope you enjoy this blog from our colleague, Christian Moffit.
The SEC has lived to fight another day in its case against Mark Cuban over his sale of
Continue Reading Christian Moffitt’s Take on SEC v. Cuban
Analysis of cutting-edge securities industry issues
We all hope you enjoy this blog from our colleague, Christian Moffit.
The SEC has lived to fight another day in its case against Mark Cuban over his sale of…
Continue Reading Christian Moffitt’s Take on SEC v. Cuban
Ernest Badway, recently, appeared on one of the top-rated business programs in India, The Firm, to discuss United States District Court Judge Barbara Jones’ dismissal of a major securities class action…
Continue Reading Ernest Badway Appears on CNBC-India to Discuss Securities Class Action Dismissal
The SEC, recently, sued a private equity fund adviser for, among other things, allegedly violating Investment Advisers Act of 1940 Rule 206(4)-7, for failing to have procedures requiring verification of…
Continue Reading You Need a “Shadow” If You Want to be a RIA Today
Never, under any circumstances, should you have your client sign an account opening document in blank, for you to complete at some later time. To most of you, this is…
Continue Reading Do You Want To Know A Secret About Account Opening Documents.
In our hyper-fast world, financial advisors, like many in the service sector, have become lazy. Let me be clear, I think financial advisors are working harder than ever to service…
Continue Reading Who Wants To Learn A Way To Insulate Themselves From Liability.
The Second Circuit ruled that the First Amendment trumps the federal government’s enforcement off-label marketing prohibitions. The decision could change the face of pharmaceutical compliance and limit criminal, regulatory, and civil exposure to government and private plaintiffs.
Continue Reading Game Changing Off-Label Marketing Decision Has Implications for Related Securities Lawsuits