| Date |
Title |
Publication |
| 02/01/1202/01/12 |
Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
View LawFlash
|
Securities LawFlash |
| 01/31/12January 2012 |
2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers
View Publication
|
White Paper |
| 01/19/12January 2012 |
The Consumer Financial Protection Bureau:
What It Is and What to Expect
View White Paper
|
White Paper |
| 03/18/11March 2011 |
Morgan Lewis 2010 Hedge Fund Enforcement Year in Review
View White Paper
|
White Paper |
| 12/22/1012/22/10 |
SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative
View LawFlash
|
Securities LawFlash |
| 01/26/1001/26/10 |
Feds Must Learn Difference Between
Poor Decisions and Fraud, Daily Business Review
View Article
|
Article |
| 10/06/0910/06/09 |
Conflicts of Interest [Large Firms], presented at the NSCP National Membership Meeting, Philadelphia
View Presentation
|
Speech |
| 02/25/09January/February 2009 |
FINRA Steps Up AML Enforcement Efforts to Target Suspicious Activity Monitoring, NSCP Currents
|
Article |
| 02/24/0902/24/09 |
International Business: Corruption Laws Reach Further Than Many Companies Believe, Daily Business Review
View Article
|
Article |
| 10/20/0810/20/08 |
Conflicts of Interest, presented at the NSCP National Membership Meeting 2008, Philadelphia
View Presentation
|
Speech |
| 10/15/0810/15/08 |
SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual
View LawFlash
|
Securities LawFlash |
| 12/06/0712/06/07 |
Compliance Officers and Compliance Programs, presented at the West Legalworks Investment Adviser Regulation: An A to Z Workshop, Miami
View Presentation
|
Speech |
| 11/14/0711/14/07 |
The Impact of Hedge Funds on the Global Capital Markets, presented at Terrapinn's Hedge Funds World Bahamas 2007, Atlantis, Bahamas
|
Speech |
| 10/30/0710/30/07 |
Governance, Risk and Compliance Track: SEC Enforcement Actions, presented at the 14th Annual Institutional Investor/MARHedge Global Hedge Fund Summit, Bermuda
|
Speech |
| 10/01/07October 2007 |
The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs, Banking & Financial Services Policy Report
|
Article |