My partner, Ernest Badway, recently blogged about the dangers of a lawyer referring a client to a rogue stockbroker. The question for the broker-dealer/investment advisors is how do you
Continue Reading Who Wants To Know How To Weed Out Rogue Stockbrokers
Ever since Dodd-Frank, there has been much concern in the RIA world regarding who would be its regulator. At this point, RIAs can dispense with any concern that FINRA will
One of the more anticipated and debated outgrowths of the Dodd-Frank Act was the designation of a self-regulatory organization responsible for investment advisers. Yet, it has recently been reported that
Recently, SEC Commissioner Daniel Gallagher stated that he was not in favor of allowing the Commission to retroactively impose a collateral bar.
Although there certain administrative proceedings have looked into
Continue Reading SEC Commissioner Comes Out Against Retrospective Collateral Bars
The SEC Enforcement Division’s chief accountant has gone on record as saying that, in every SEC accounting case, the SEC Staff reviews auditor conduct.
The chief accountant stated that the SEC Staff
In its continuing enforcement onslaught on firms emanating from China, the SEC filed another action in the United States District Court for the Western District of Louisiana against a Chinese
Just a few short weeks ago, the SEC launched an administrative action against an on-line futures and options brokerage and clearing agency, as well as its senior executive for engaging
Recently, the SEC Enforcement Director was promoting the SEC’s successes, offering credit to the restructuring and hiring of securities specialists that he undertook.
The Enforcement Director also indicated that the 37 cooperation
We wanted to share with you a great article co-authored y one of our partners, Alain Leibman, along with our colleague, Jana Volante. The article’s title is “Attacking Eyewitness Identification Testimony, in
Continue Reading Great Criminal Law Submissions by Our Fox Colleagues
Ernie Badway and Dan Schnapp have authored the article, “The Problem with SEC Obey-the-Law Injnuctions and Their Chances of Survival,” in the most recent edition of the Journal of Taxation
Continue Reading Badway and Schnapp Author Article on SEC Obey-the-Law Injunctions