Jerry Phillips

Jerry Phillips

Loeb & Loeb LLP

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The Regulators Are Coming! The Regulators Are Coming!

Regulators, in-house lawyers and compliance officers told a serious cautionary tale at the recent Practicing Law Institute Broker-Dealer Regulation and Enforcement seminar. Representatives of the Securities and Exchange...more

11/20/2014 - Alternative Investment Funds Anti-Money Laundering Broken Windows Broker-Dealer Brokers Chief Compliance Officers Conflicts of Interest Dark Pool Disclosure Requirements DOJ Expungement False Statements FINRA Investment Adviser Prudential Regulation Authority SEC Securities Strategic Enforcement Plan

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

Bet on David, Not Goliath - or Why Ambiguities in an Insurance Policy Favor the Insured

When does the little guy ever win a contract battle? When the contract is an insurance policy, of course! It's an age-old story played out in case after case: Ambiguous terms in an insurance policy will be strictly construed...more

4/29/2014 - Ambiguous Insurance Contracts Policy Exclusions

Expanding Market for Insurance and Risk Securities Promises High Risk, High Reward - and High Potential for Claims

The securities marketplace has experienced a resurgence of interest in insurance- and risk-linked securities, primarily as a result of Hurricane Katrina and Superstorm Sandy. First introduced after the Northridge earthquake...more

4/29/2013 - Higher-Risk Securitizations Investors Natural Disasters Reinsurance

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