2019 Survey of Senior Investor and Elder Financial Abuse Securities Cases

A survey of elder financial abuse decisions in state court cases, federal court cases, FINRA arbitration awards, and regulatory and criminal actions.


Securities Enforcement Activity in the COVID Era: A Backstop to Private Securities Litigation

By Michelle Levin and Ashwin Ram – January 4, 2021 | Recent COVID-related securities litigation and enforcement trends, issues of proof, and best practices to avoid the expected onslaught of enforcement activity and investigations.

FINRA Dispute Resolution Updates

By Joshua D. Jones and Clay Wash – January 4, 2021 | Developments relating to COVID-19, unpaid awards, expungement, vulnerable investors, and third-party discovery.

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Practice Points

Key Takeaways from ABA Panel on FINRA’s 2021 Exam Findings and Regulatory Priorities

By Taylor E. Anderson and David G. Buffa – February 24, 2021 | The report revamps two prior FINRA publications—its retrospective exams findings and its priorities letter—into one streamlined document that is required reading for every financial services industry legal and compliance professional.

Tips for Preparing and Using Exhibits in Remote Video Depositions

By John E. Clabby – February 17, 2021 | Pointers from an experienced litigator, from initial outline drafting, through sharing exhibits in advance with opposing counsel and the witness, to the use of exhibits on the record.

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Liu v. SEC: Civil Disgorgement on the Chopping Block

By Matthew P. Allen – March 2, 2020 | In this Sound Advice, Matthew P. Allen summarizes the parties' legal positions in Liu, and offers a structure to defend an SEC disgorgement action.

Post-Cyan Developments: State and Federal Court Litigation Update

By Josh Jones and Danielle Myers – December 10, 2019 | In Cyan, the Supreme Court held that class actions solely alleging violations of Section 11 of the Securities Act of 1933 could be heard in state court and were not removable under SLUSA. In this Sound Advice , Josh Jones and Danielle Myers consider the state and federal court developments in the eighteen months since the opinion was issued.

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