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Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review
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Co-author, Friends with Benefits: When Does Socializing between the Bench and Bar Warrant Judicial Disqualification?, Orange County Lawyer , Vol. 54, No. 5
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Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
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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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Morgan Lewis Adds Depth in California with a Half Dozen Litigators
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