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?
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?
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
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
When Do Statutes of Limitations Apply in Arbitration? – The Florida Bar Journal
Construction contracts, attorney-client fee agreements, employment agreements, and stock brokerage agreements are examples of contracts that frequently contain arbitration clauses. Some of these contracts are negotiated at arm’s length. Others are not. Typically, the arbitration clauses within the contracts identify the forum in which future disputes will be resolved.
Rogue Stockbrokers and the Duty to Warn – ActionLine Published by the Florida Bar
Does an attorney have liability for the negligent referral of a client to a “rogue stockbroker”? If an attorney chooses to refer a client to a stockbroker, what are the best practices prior to making the referral?
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
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
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.
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).