James Q. Walker
Richards Kibbe & Orbe LLP
Articles
S.D.N.Y. Decision Addresses Attorney-Client Privilege in the Context of Constituency Directors
USA - April 11 2019 On March 28, 2019, a federal court in the Southern District of New York issued a decision addressing the standard for determining whether…
California Supreme Court Decision Raises New Questions About Advance Waivers of Conflicts
USA - December 20 2018 The California Supreme Court declined to enforce a law firm’s engagement agreement on the basis of the agreement’s blanket advance conflict waiver…
New York City Bar Opinion Stuns the Litigation Finance Markets
USA - August 16 2018 A recent New York City Bar opinion, N.Y. City Formal Op. 2018-5 ("Opinion 2018-5"), shocked both the investment and the legal communities by throwing…
In-house lawyers beware: SEC expands supervisory liability
USA - October 19 2010 A SEC Administrative Law Judge ("ALJ") recently held that an in-house lawyer at a broker-dealer with no direct supervisory authority over a retail financial advisor was, nonetheless, that financial advisor's "supervisor" under the federal securities laws.
Regulatory challenges for public companies
USA - January 6 2010 Examination of US regulatory enforcement actions and criminal investigations and prosecutions in 2009 suggests that the Securities and Exchange Commission (SEC) and United States Department of Justice (DOJ) have intensified their focus on senior executives and are targeting them even in the absence of evidence of actual participation in any misconduct.
