Morgan Lewis

Related Publications

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
11/04/11 Securities Compliance and Examinations for Broker-Dealers, Advisors, and Funds, presented at the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C.
(pdf)
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Related News

01/01/10 Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009
Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
06/29/09 Q&A With Morgan Lewis' Ben Indek, Law360
Ben Indek is interviewed, discussing the past, present, and future of his practice and securities law.
12/24/08 SEC Chief Defends His Restraint, Washington Post
Ben Indek comments on the SEC's actions against broker-dealers over the 2007 and 2008 fiscal years.
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