Morgan Lewis

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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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