A survey of elder financial abuse decisions in state court cases, federal court cases, FINRA arbitration awards, and regulatory and criminal actions.
By Susan S. Muck and Charlene (Chuck) Shimada – April 1, 2021 | As we continue to press for greater agency and equality, here are a few suggestions to help women securities litigators remain top of mind with clients.
By Louis F. Mendez and Amrit P. Singh – April 1, 2021 | There are three primary ways the industry can ensure an injection of diversity.
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.
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.
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.
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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Jun
08
Events | Webinar
From Counsel Table to the Witness Stand: Practical Tips and Ethical Solutions When the Attorney Becomes a Witness [CC]
ETHICS 60 min
This program will examine the ethical issues that come into play when an attorney becomes a testifying witness. The program will also provide practical tips for attorneys preparing to testify, as wel…
Jun
22
Events | Webinar
Top Ten Myths about In-House Ethics [CC]
ETHICS 60 min
While the same rules that govern attorneys in private practice apply to the in-house attorney, the application of certain of those rules to your in-house practice may be surprising.
Jul
21
Events | Webinar
Cross-Border Institute 2021
ETHICS 60 min
Join international data privacy, cybersecurity, and E-Discovery thought leaders for the fifth year.
