September 21, 2014
September 20, 2014
September 19, 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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- D.C. Judge Rules in Favor of CFTC on Cross-Border Application of Dodd-Frank Rules
- Oxfam America Sues The SEC (Again) For Dilatory Rule Making
- Investment Management Firm Discloses Wells Notice from the SEC Over Performance Claims
- SEC Uses Data Analytics to Identify and Punish Late Form Filers
- Wisconsin District Court Grants Summary Judgment and Dismisses Case Regarding Insider Trading Prohibitions and Mutual Fund Redemptions
- Second Circuit Affirms No Extraterritorial Application For Dodd-Frank Anti-Retaliation Provision