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Category Archives: Resources

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?

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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

Securities Law Update –December 11, 2006

On December 8, 2006, the Nebraska Supreme Court issued a new opinion addressing Nebraska securities law. A copy of the decision in Myers v. Nebraska Investment Council, et al., 272 Neb. 669, 2006 Neb. LEXIS 170 (2006), is provided below.