Effectively Using Non-Retained Experts In Commercial Litigation
Litigants often overlook the value of non-retained expert witnesses in commercial litigation. Yet these witnesses can educate a judge or…
Read MoreMonth: October 2013
FINRA Releases Report on Conflicts of Interest
The Financial Industry Regulatory Authority (FINRA) released a new report regarding conflicts of interest in the broker-dealer industry. FINRA began…
Read MoreFINRA Expungement- Virtually Guaranteed in Settled Cases
Good news for registered reps seeking to expunge customer complaints from their CRD records. A report recently issued by PIABA,…
Read MoreR. Allen Stanford’s Ponzi Scheme- Fraud for Securities That Never Existed?
Most of us who follow Ponzi schemes, scams and scoundrels remember R. Allen Stanford’s long standing Ponzi scheme. He now…
Read MoreIntellectual property lawsuits risk exposing company secrets
How is your smartphone so smart? How does your Xbox do that? The answers to these questions are what technology…
Read MoreSEC Announces “Tough Cop” Approach to Enforcement
Securities and Exchange Commission Chair Mary Jo White recently announced plans to widen the scope of SEC enforcement to investigate,…
Read MoreFINRA Update: Should Broker-Dealers Be Required To Carry Insurance?
the Financial Industry Regulatory Authority (FINRA), Wall Street’s largest self-regulatory agency, announced it would consider whether broker-dealer firms should be…
Read MoreSecurities Regulation Update: JOBS Act Loosens Restrictions On Crowdfunding Investments
as part of a broad change to the securities regulations, President Obama signed into law the “Jumpstart Our Business Startups…
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