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Huge customer protection rule fine brings back memories

USA - June 26 2016 My friend and a legend in the securities regulatory field, Edwin Nordlinger, who served as Deputy Regional Director in the SEC’s New York office for…

Even unconfirmed, securities arbitration awards bar recovery

USA - February 19 2013 The Arkansas Court of Appeals approved the dismissal of complaint filed by securities investors because an arbitration award had resulted in other…

You may get lucky by not discussing merger talks

USA - February 18 2013 Corporate officials, who did not disclose merger talks with a competitor, did not commit securities fraud. See Filing v. Phipps, 6th Cir., No…

The proper care and feeding of experts in securities matters

USA - February 18 2013 As many regular blog readers know, I have participated as an expert witness before. It is fascinating to share with our readers other epxert…

Lawyers and issuers really need to listen to SEC comments regarding cyber security

USA - February 15 2013 The SEC's Division of Corporation Finance has indicated that lawyers for issuers and issuers themselves should focus on and respond to the SEC'…