Related Publications

February 2013 Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

May 2012 Co-author, Friends with Benefits: When Does Socializing between the Bench and Bar Warrant Judicial Disqualification?, Orange County Lawyer , Vol. 54, No. 5

02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review

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.

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Practice Areas

Bar Admissions

California

Court Admissions

U.S. Court of Appeals for the Ninth Circuit
U.S. District Courts for the Northern, Central, and Southern Districts of California

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Todd W. Smith

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Irvine: 5 Park Plaza, Suite 1750
Irvine, CA 92614-3508
Phone: 949.399.7186
Fax: 949.399.7001

5 Publications Found

Date	Title	Publication
02/06/13February 2013	Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review View Publication	White Paper
05/10/12May 2012	Co-author, Friends with Benefits: When Does Socializing between the Bench and Bar Warrant Judicial Disqualification?, Orange County Lawyer, Vol. 54, No. 5	Article
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
06/10/10Spring/Summer 2011	Taking the Fifth: Practical Considerations for the Civil Lawyer, Federal Bar Association of Orange County Newsletter	Article