April 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.

Click here to review the full Survey.

©2014 Greenberg Traurig, LLP. All rights reserved.

About the Author


Terry Weiss focuses his practice on representing the securities industry, including securities firms and their representatives, investment advisors, compliance professionals and other securities industry professionals. He defends civil customer litigation, class action litigation and arbitration cases, and employment matters. Terry is also experienced in handling internal investigations and enforcement matters brought by the various securities regulators.



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