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Results: 1-10 of 12

Who wants to learn a way to insulate themselves from liability.

  • Fox Rothschild LLP
  • -
  • USA
  • -
  • December 10 2012

In our hyper-fast world, financial advisors, like many in the service sector, have become lazy

Judge tightens Madoff-related claims against PricewaterhouseCoopers

  • Sedgwick LLP
  • -
  • USA
  • -
  • August 31 2012

In another claim initiated as a result of the Madoff Ponzi scheme, a putative class action styled Anwar, et al. v. Fairfield Greenwich Ltd., et al., U.S. District Judge for the Southern District of New York Victor Marrero granted in part motions for reconsideration filed by defendant Pricewaterhouse Coopers (PwC

PCAOB imposes record fine on E&Y in public proceeding

  • Dorsey & Whitney LLP
  • -
  • USA
  • -
  • February 9 2012

E&Y was fined a record $2 million by the PCAOB in connection with repeated violations of professional standards

Select SEC and FINRA broker-dealer cases and developments: 2011 year in review

  • Morgan Lewis & Bockius LLP
  • -
  • USA
  • -
  • February 1 2012

In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60 increase in such SEC enforcement actions and a 13.5 increase in FINRA disciplinary actions since 2010

New York's Martin Act does not preempt an investor's common law claims

  • Winston & Strawn LLP
  • -
  • USA
  • -
  • January 3 2012

On December 20th, New York's highest court held that the Martin Act, the state's blue sky law, does not preempt an investor's claims for breach of fiduciary duty and gross negligence

SEC can discipline attorney for violation of state ethics rules

  • Jenner & Block
  • -
  • USA
  • -
  • December 23 2011

The Securities and Exchange Commission can permanently bar an attorney from practicing before the Commission based on the SEC’s own findings that the lawyer violated State ethics rules in his practice before the Commission

Sore loser

  • Day Pitney LLP
  • -
  • USA
  • -
  • March 31 2011

Convicted of insider trading, former Qwest CEO Joseph Nacchio is not taking his conviction sitting down

Court refuses to take judicial notice of securities violations in related action

  • Katten Muchin Rosenman LLP
  • -
  • USA
  • -
  • April 30 2010

Donald Reneker, a court-appointed special receiver for AmeriFirst Funding, Inc., and several related entities, brought a malpractice action against AmeriFirst’s former outside counsel alleging that the firm acted improperly in advising AmeriFirst regarding the issuance of certain collateralized debt securities and in responding to a related state regulatory inquiry

SEC sanctions E&Y and director of three public audit clients for failure to disclose a business relationship that impaired E&Y's independence

  • Sheppard Mullin Richter & Hampton LLP
  • -
  • USA
  • -
  • September 5 2008

On August 5, 2008, the SEC announced the settlement of administrative proceedings against Ernst & Young and Mark C. Thompson, a former director of three public audit clients of Ernst & Young

Hedge fund liquidators barred from bringing negligence claims against auditors

  • Edwards Wildman Palmer LLP
  • -
  • USA
  • -
  • August 19 2008

A New York state court recently dismissed claims brought by the liquidator of a hedge fund against the fund’s accountants on the ground that the claims were barred by the doctrine of in pari delicto

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