Category Archives: Newsletters

Items discussed in this newsletter:

• FUTURES 101
• THE OSCAR FOR CHUTZPAH GOES TO….
• CHAPTER 517 EXEMPT TRANSACTIONS
• FINRA ACTION DISMISSED BY NY COURT OF APPEALS
• WORLDCOM ARBITRATION AWARD REMANDED TO ARBITRATORS

Items discussed in this newsletter:

• CIVIL LIABILITY FOR INSIDER TRADING
• WHAT IS A GROSS DEFERRED COMMISSION?
• BROKERAGE FIRM EMPLOYEE ENTITLED TO REIMBURSEMENT FOR EXPENSES
• SALE OF LOTTERY RIGHTS – CAPITAL GAINS OR ORDINARY INCOME?

Items discussed in this newsletter:

• Scope of General Release Language
• Exclusion of Evidence Regarding Negotiation of U-5 Language Affirmed
• Should Stockbrokers be Permitted to Rewrite History?

Items discussed in this newsletter:

• USING EXPERT WITNESSES TO PROVE TRUST DEPARTMENT MISCONDUCT
• HEDGE FUNDS – EVEN INVESTORS WHO GOT OUT EARLY END UP UNHAPPY
• ARBITRATION AGREEMENT NOT ENFORCEABLE AGAINST CO-EMPLOYEE
• CONTRACTUALLY SHORTENED STATUTE OF LIMITATION ENFORCEABLE

Items discussed in this newsletter:

• WHEN DO STATUTES OF LIMITATION APPLY IN ARBITRATION?
• MORE ON STATUTES OF LIMITATION IN ARBITRATION
• HIGH-LOW AGREEMENTS AND ETHICS
• WHISTLEBLOWING AND PROMISSORY ESTOPPEL

Securities Law Update – August 2007

• Rule 11 – Supervise Your Partners – Read the Rule 11 Letter
• Merrill Lynch Hoisted By Own Petard
• Morgan Stanley Fined $6.1 Million
• The 2007 Subprime Debacle

Items discussed in this newsletter:

• If It Looks Like a Hedge Fund and Quacks Like a Hedge Fund, Is it a Hedge Fund?
• Stockbroker in Pain Despite $5 Million Severance
• Oops – Can I Please Have That Document Back?
• Arbitration Award Vacated – Manifest Disregard of Law Related to Attorneys Fees

On April 5, 2007, an Omaha NASD arbitration panel issued an award in favor of an investor alleging claims involving concentrated positions in Level 3 Communications and WorldCom.

On April 25, 2007, Judge F.A. Gossett issued an interesting opinion in Credit Suisse Securities LLC vs. Hilliard, et al., 2007 U.S. Dist. LEXIS 30597 (D. Neb. 2007).

On April 5, 2007, an Omaha, Nebraska NASD arbitration panel issued its first arbitration award in favor of an investor alleging claims involving concentrated positions in Level 3 Communications and WorldCom.