Eugene Licker

Eugene Licker

Loeb & Loeb LLP

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Regulators at SIFMA Regional Conference Highlight Regulatory, Litigation and Arbitration Risks

At a recent regional SIFMA conference, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and state regulators discussed the risks inherent in the ongoing low-yield environment....more

10/9/2014 - Arbitration Arbitration Agreements Compliance Cybersecurity Data Protection FINRA High Frequency Trading Internet SEC SIFMA Transparency

Securities Litigation Update

The summer may feel like a more leisurely time of year, but not in securities litigation news. Here are some of the more significant headlines...more

8/20/2014 - Alternative Mutual Funds Brokers Debt Market Mortgage-Backed Securities Rating Agencies S&P SEC Securities Settlement SIFMA

Abolish the Attorney Client Privilege - It serves little use in practice, while the work-product privilege offers a safer harbor.

One of the great myths of the legal profession is that the attorney- client privilege promises absolute confidentiality, to ensure clients’ full disclosure to their counsel. However, as most lawyers know too well, clients...more

7/1/2014 - Attorney-Client Privilege Confidentiality Work Product Privilege

Expanding Liability for Audit Committee Members

When one considers the corporate bureaucracy designed to ensure good corporate citizenship, the audit committee stands out. No committee of the board has the broad ranging purview of the audit committee, and those powers and...more

6/10/2014 - Audits Board of Directors Chief Compliance Officers Corporate Counsel Corporate Governance Government Investigations Joint Audit Committee Professional Liability Risk Management SEC

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