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

11/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

Outside Publications | Article
Ben Indek, Michael Kraut, Namita Mani

10/27/08 The War on Rumors at the SEC and CFTC, Securities Regulation and Law, Vol. 40, No. 42

Outside Publications | Article
Christian Mixter

10/17/08 Defending an SEC Administrative Proceeding, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/17/08 SEC Administrative Enforcement Litigation in FY 2008, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/15/08 SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual

LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter

In an effort to make its processes more transparent, last week the SEC made public its Division of Enforcement Manual. Substantial sections of the 122-page manual will be familiar to veterans of the Division of... more

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. Ho... more

09/24/08 Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York

Presentation | Speech
Ben Indek

09/11/08 New Ninth Circuit Decision Makes Alleging Scienter Easier for Plaintiffs

LawFlash/Client Alert | Securities LawFlash
Litigation Practice

In the years following the passage of the Private Securities Litigation Reform Act of 1995 (PSLRA), plaintiffs have tried numerous approaches to satisfying the PSLRA’s stringent requirement to plead a “strong i... more

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

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