Jonathan Forman

BakerHostetler

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Broker-Dealers and Investment Advisers Now Targeted by Both Cyber Intruders and SEC Cybersecurity Examiners

Cybersecurity has increasingly become a critical issue for all types of businesses, few more so than broker-dealers, investment advisers and others in the financial sector. The cyber threat is much broader than customer data...more

5/7/2014 - Audits Broker-Dealer CFTC Cyber Attacks Cybersecurity Enforcement Actions FINRA Investment Adviser NIST OCIE Personally Identifiable Information Regulation S-ID Regulation S-P Risk Assessment SEC Security Audits

2013 Year-End Securities Litigation and Enforcement Highlights

We are pleased to share with you the 2013 Year-End Highlights Report from the BakerHostetler Securities Litigation and Regulatory Enforcement Practice Team, a periodic survey, in addition to our Executive Alerts, which...more

1/30/2014 - Chief Compliance Officers Complex Litigation Compliance Corporate Counsel Enforcement Enforcement Actions Investment Funds Securities Litigation

Who's Your Supervisor? The SEC Sheds Further Light on the Subject

The recent issuance of frequently asked questions and interpretive answers by the SEC's Division of Trading and Markets (the "FAQs") clarifies a "disturbingly murky" area of the federal securities law -- namely, what facts...more

10/18/2013 - Compliance SEC Securities Exchange Act Supervisors

Your Request for Spoliation Sanctions Could Get You Sanctioned

We like our litigation to be decided on the merits. Sanctions motions based on unsupported claims of spoliation create expensive sideshows that distract from the merits. And sometimes – although perhaps not frequently enough...more

10/11/2013 - Bad Faith Sanctions Spoliation

SEC "Zero Tolerance" Nets Nearly Two Dozen Firms for Alleged Violations of Short Sale Rule

Hedge fund and other private investment fund managers, both domestic and foreign, those registered or not, beware. SEC Chairman Mary Jo White's crackdown on securities violations continued last Tuesday with the announcement...more

9/26/2013 - Policy Violations SEC Short Sales Zero Tolerance Policies

Regulators Issue Joint Guidance on Business Continuity Planning

Last Friday, the SEC, FINRA and CFTC issued joint guidance (Joint Guidance) on the "best practices and lessons learned" from their review of the business continuity and disaster recovery plans of firms as a result of the...more

8/23/2013 - CFTC Continuity of Enterprises Disaster Preparedness Enforcement Guidance FINRA Hurricane Sandy SEC

Best Practices for Investment Advisers on Trade Execution: An Analysis of Two Recent SEC Settlements

On July 31, 2013, the U.S. Securities and Exchange Commission (SEC) announced that two investment advisers allegedly failed to seek best execution on client trades placed with their in-house brokerage divisions and misled...more

8/7/2013 - Consent Order Fraud Investment Adviser Misleading Statements SEC Settlement

2013 Mid-Year Securities Litigation and Enforcement Highlights

Table of Contents - I. Supreme Court Case Review (October 2012 Term) II. Rule 10b-5 Cases III. Investment Adviser and Hedge Fund Cases IV. Settlements V. Commodities and Futures Litigation and...more

7/31/2013 - Amgen Inc. v Connecticut Retirement Plans Comcast Commodities Enforcement Actions Gabelli v SEC Hedge Funds Investment Adviser Rule 10b-5 SCOTUS SEC Securities Litigation

The Da Silva Moore Sideshow Seeks The Big Stage

Will a challenge to the use of predictive coding or technology-assisted review (TAR) disguised as a recusal fight capture the attention of the U.S. Supreme Court? Probably not....more

7/16/2013 - Electronically Stored Information Predictive Coding Recusal SCOTUS

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