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11/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet
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10/27/08 The War on Rumors at the SEC and CFTC, Securities Regulation and Law, Vol. 40, No. 42
(pdf)
10/17/08 Defending an SEC Administrative Proceeding, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation
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06/13/08 Chambers USA 2008 Recognizes Morgan Lewis in 19 National Practice Areas
Morgan Lewis is pleased to announce that the 2008 edition of Chambers USA: America’s Leading Lawyers for Business features Morgan Lewis as a leading national firm in 19 practice areas.
05/20/08 Subprime Litigation, 8K Magazine
Partners Jami McKeon and Christian Bartholomew discuss subprime litigation in 8K magazine.
09/14/07 141 Morgan Lewis Lawyers Receive The Best Lawyers in America (2008)
141 Morgan Lewis lawyers have been recognized in The Best Lawyers in America 2008.
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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

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

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

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
Securities Industry Practice

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

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

05/24/05 Enforcement Hot Topics, presented at The NASD Spring Securities Conference, Chicago

Presentation | Speech
Ben Indek

05/10/05 Enforcement Aspects of Sarbanes-Oxley; given by NIAF Institute for International Law - International Legal Conference - Common Legal Issues Facing Italy & America: Corporate Governance & Intellectual Property, Rome

Presentation | Speech
John Peloso

04/05/05 Litigating with S.R.O.'s, presented at the Securities Industries Association Compliance & Legal Division 2005 Annual Seminar, Palm Desert, CA

Presentation | Speech
Ben Indek

03/10/05 The NASD CEO Certification Rule, NRS' Broker/Dealer Conference - CEO Now Stands for "Certifying" Executive Officer in Orlando, FL

Presentation | Speech
Ben Indek

02/28/05 BD Regulatory Audits, presented at The National Society of Compliance Professionals 2005 Southern Regional Meeting, Atlanta

Presentation | Speech
Ben Indek

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