Newsletters

Securities Law Update – March 2008

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

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Securities Law Update – February 2008

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?

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Securities Law Update – December 2007

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?

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Securities Law Update – November 2007

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

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Securities Law Update – October 2007

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

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Securities Law Update – August 2007

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

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Securities Law Update – September 2007

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

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Securities Law Update – June 2007

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.

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Securities Law Update – May 2007

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).

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Securities Law Update – April 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.

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