Publications of Interest > Securities Litigation > Securities Industry > Industries > Practices : Morgan, Lewis & Bockius

August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

White Paper | Morgan Lewis White Paper
Kurt Rademacher, Ben Indek, Anne Flannery, Michael Kraut, Bonnie Altro, Kerry Land

This outline highlights selected U.S. Securities and Exchange Commission ("SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA"), and NYSE Regulation enforcement actions and developments regarding... more

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

White Paper | Morgan Lewis White Paper
Ben Indek, Anne Flannery, Michael Kraut

This outline highlights selected U.S. Securities and Exchange Commission (“SEC” or the “Commission”), NASD, NYSE Regulation, and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and develop... more

01/17/08 Supreme Court Affirms Limitations on Third-Party Liability for Securities Fraud

LawFlash/Client Alert | Litigation LawFlash
Litigation

On January 15, 2008, in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. , the Supreme Court affirmed in a 5-3 opinion the Eighth Circuit Court of Appeals’ decision, which dismissed claim... more

08/01/07 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

LawFlash/Client Alert | Securities LawFlash
Securities Industry

A recent opinion by the D.C. Circuit in PAZ Securities, Inc. v. SEC , No. 05-1467 (D.C. Cir. July 20, 2007), has dealt yet another blow in what had been, until a mere 18 months ago, the NASD’s and other SROs’ vi... more

03/17/07 Current Issues in D&O and FLI Class Action Litigation, presented to Chubb Solutions, Chicago

Presentation | Speech
Christopher Hall

11/20/06 Don't Start a Backdating Witch Hunt, Legal Times, Vol. 29, No. 47

Outside Publications | Article
Christian Bartholomew

11/13/2006 Securities Industry Association, presented at the Compliance and Legal Division Fall Compliance Seminar, New York

Presentation | Speech
Ben Indek

10/19/06 BD Regulatory Audits: What You Need to Know, presented at the NSCP 2006 National Membership Meeting, Washington, D.C.

Presentation | Speech
Ben Indek

10/17/06 Welcome Remarks to the Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York

Presentation | Speech
Ben Indek

10/12/06 Putting the Effective in Your Compliance Program, presented at the SIA Compliance & Legal Division Regional Seminar, Washington, D.C.

Presentation | Speech
Ben Indek

06/20/06 Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York

Presentation | Speech
Anne Flannery

06/19/06 Electronic Communications Best Practices, presented at the NYSE Regulation Second Annual Securities Conference, New York

Presentation | Speech
Ben Indek

06/01/06 Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York

Presentation | Speech
Anne Flannery

05/19/06 Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL

Presentation | Speech
Anne Flannery

05/11/06 Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York

Presentation | Speech
Anne Flannery

05/01/06 BD Hot Buttons, presented at the NSCP 2006 East Coast Regional Meeting, New York

Presentation | Speech
Ben Indek

03/22/06 Document Retention Standards - Building Your Model, presented at the SIA C&L 2006 Annual Seminar, Hollywood, FL

Presentation | Speech
Ben Indek

03/08/06 Best Practices of Very Small Firms, presented at the NASD Small Firm Conference, New York

Presentation | Speech
Ben Indek

Winter 2006 The Scope of SLUSA Preemption of State Law Claims: Recent Case Law, ABA Securities Litigation Journal, Vol. 16, No. 2

Outside Publications | Article
Christopher Hall

10/24/05 2005 Industry Overview "What's New and Hot?" presented at The 2005 NSCP National Meeting, Alexandria, VA

Presentation | Speech
Ben Indek

08/25/05 Recent Developments in Securities Litigation

LawFlash/Client Alert | Securities Industry FYI
Christopher Hall, Jennifer Shufro

This LawFlash is an overview of recent developments in securities litigation, including general developments, mutual fund proceedings, electronic discovery and email retention.

This LawFlash discuss... more

07/14/05 NASD Rule 3013 (CEO Certification) NRS, "Getting NASD Rules 3012, 3013 and Amended 3010 Under Control" Conference, New York

Presentation | Speech
Ben Indek

07/03/05 Recent Developments in Securities Litigation (co-author), presented at the National Economic Research Associates Seminar

Presentation | Speech
Christopher Hall

06/22/05 Supervision of Electronic Communications, presented at the New York Stock Exchange Regulation First Annual Securities Conference, New York

Presentation | Speech
Ben Indek

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