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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.

January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

January 2012 The Consumer Financial Protection Bureau: What It Is and What to Expect

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Related News

05/21/07 Morgan Lewis Adds Senior SEC Enforcement Official to National Securities Practice and Miami Office

Ivan Harris, former Assistant Regional Director of Enforcement for the SEC's Southeast Region, has joined the firm's national securities practice as a partner in the Miami office.

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Practice Areas

Bar Admissions

Florida
New York

Court Admissions

U.S. District Court for the Southern District of Florida

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Ivan P. Harris

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Miami: 200 S. Biscayne Blvd., Suite 5300
Miami, FL 33131-2339
Phone: 305.415.3398
Fax: 305.415.3001

New York: 101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6390
Fax: 212.309.6001

15 Publications Found

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