July 31, 2014
July 30, 2014
Broker-Dealer Litigation: 2012 Annual Survey
This Survey identifies significant court decisions and administrative proceedings before the SEC and FINRA, which involve issues relevant to broker-dealers and investment banking firms during the year 2012. Although the Survey does not purport to necessarily be comprehensive, it is intended to include all notable decisions and proceedings during 2012.
This Survey is an annual project of the ABA’s Broker-Dealer Subcommittee, conducted with the assistance and support of the full Securities Litigation Committee. Again this year, the Survey has been prepared in conjunction with the annual Compliance and Legal Seminar of the Securities Industry and Financial Markets Association. In addition to the Subcommittee members participating in the project listed below, we gratefully acknowledge the special assistance of Marisa Crawford, Jonathan Lippert, and Brenda McDonald of Greenberg Traurig in Atlanta, Georgia, for their efforts in editing, revising, and organizing the Survey.
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- SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive
- Commodity Futures Trading Commission (CFTC) Seeks Comment on ICE Clear Europe Portfolio Margining Proposal
- The Gabelli Effect: How the Supreme Court’s Decision Is Impacting Enforcement Actions
- Two Observations From the SEC’s First Settlement Under its Municipalities Continuing Disclosure Cooperation Initiative
- Halliburton II: Supreme Court Upholds Basic Presumption
- NY District Court Confirms “Neither Admit Nor Deny” Settlements Applying Citigroup Factors