Gregory Braden

Gregory Braden

Morgan Lewis

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Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2013 Year in Review

Table of Contents: Executive Summary; U.S. Securities and Exchange Commission; and Financial Industry Regulatory Authority. Executive Summary - This Outline highlights key U.S. Securities and Exchange...more

2/19/2014 - Broker-Dealer Enforcement Actions FINRA Investment Adviser SEC

Supreme Court to Decide Applicability of the “Prudence Presumption” in ERISA Stock Cases: ESOP and 401(k) Plan Sponsors and...

Introduction - In Fifth Third Bancorp v. Dudenhoeffer, the U.S. Supreme Court will decide whether investments in employer stock are entitled to a “prudence presumption” under the Employee Retirement Income Security Act...more

12/23/2013 - 401k Duty of Prudence Employee Stock Purchase Plans ERISA ESOP FIfth Third Bancorp v Dudenhoeffer Rebuttable Presumptions SCOTUS

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