August 21, 2014
August 20, 2014
August 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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- Securities Fraud: Profits Do Not Always Equal Disgorgement
- SEC Brings New Kind of Enforcement Action Aimed at Preventing Retaliation Against Whistleblowers
- New York District Court Considers Prior SEC Complaint Evidence to Establish Scienter Under Private Securities Litigation Reform Act (PSLRA)
- 10th Circuit Relies On Earnings Release and Compliance with Regulation S-K to Reject Claim of Material Omissions in Public Offering
- SEC Charges CEO and Former CFO with Violation of Sarbanes-Oxley
- SEC Settles Third-Party Insider Trading Claim Against New York Investor Relations Executive