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Professional Practice Securities

Read need-to-know updates, commentary, and analysis on Professional Practice issues written by leading professionals.

Don’t get out of your level of comfort

by Ary Rosenbaum on

I started this law firm about 17 years ago as a side project. It is where I could offer legal services on the side while I did my normal day job. It was an experiment on whether I could go out on my own and I learned during...more

You Might Be The Plan Provider That They Don’t Need Right Now

by Ary Rosenbaum on

When it comes to Super Hero movies, the best by far is The Dark Knight. It was a gripping drama with well-written characters that just happened to be about super heroes and villains. The movie is full of great, thought...more

One From The Heart

by Ary Rosenbaum on

The Dark Knight Rises is one of my favorite movies and one great scene at the end is when Catwoman tells Batman: “You don’t owe these people anymore. You’ve given them everything” and Batman says: “Not everything. Not...more

Stick to a plan that will work

by Ary Rosenbaum on

When I first started out, I worked as an attorney affiliated with a third party administration (TPA). The problem with this TPA that it had 4 main partners and two other employees who had small ownership interests; it was a...more

They can’t see it, since they caused it

by Ary Rosenbaum on

A few years back, I had the worst call with a prospective client in the 19 years I have been an ERISA attorney. This 401(k) plan sponsor was like many prospective clients, poor participation and paying too much in fees....more

Advisors Advantage - August 2017

by Ary Rosenbaum on

Marketing For Plan Providers: What It Can Do And What It Can't. It's not the answer for everything. For retirement plan providers, good marketing is essential. It's so essential that there are marketing gurus out...more

The Appearance of Impropriety

by Ary Rosenbaum on

For some reason, the unincorporated village I live in has its own Sanitation District where a lot of unethical things have gone on in the past where a father and son once ruled with an iron fist. One man challenged the status...more

Advisors Advantage - July 2017

by Ary Rosenbaum on

Creating Content That Will "Click". It will help you in the long run. In the old days, newspaper and television advertising were the way that you could get your message across to potential clients and sources for...more

Advisors Advantage - June 2017

by Ary Rosenbaum on

We Didn't Start The 401(k) Fire; It's Always Been Burning. The problems have always been there. I live in Long Island, so I think by a local law, I have to be a Billy Joel fan. He's not up there with Aerosmith, The...more

Are Forensic Accountants an Attorney’s Silver Bullet?

by Foodman CPAs & Advisors on

From the art of interviewing, to recognizing mathematical irregularities, and following the money, Forensic Accountants are a proven invaluable tool for Attorneys and their clients. “Finding” the money combines the skill...more

Law Firm Data Breaches Demonstrate the Expanding Scope of Cyber Attacks

In a case of “cyber meets securities fraud,” the United States Attorney’s Office for the Southern District of New York (“SDNY”) recently indicted three foreign nationals on charges of insider trading, wire fraud, and computer...more

This Week in FCPA-Epiode 23, the Wells Fargo edition

by Thomas Fox on

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

This Week in FCPA-Episode 12

by Thomas Fox on

In this episode, Jay Rosen and myself take a look at the line drawn from the Yates Memo to the hiring of Hui Chen, to the Pilot Program, the 3 enforcement actions since then and conclude that FCPA enforcement is changing. Jay...more

This Week in FCPA-Episode 11

by Thomas Fox on

In this episode, Jay Rosen and I discuss the Analogic FCPA settlement, the VW emissions-testing scandal settlement, the implications of Brexit for compliance and some significant deaths in the worlds of music and sports. ...more

Collective Investment Trusts as Retirement Plan Investment Options: Important Tax and ERISA Considerations

by Nexsen Pruet, PLLC on

Nexsen Pruet tax and employee benefits attorney Sue Odom says retirement plan fees and expenses have been the “hot topic” for the past several years. We’ve seen increased regulation through disclosure requirements and...more

Drafting Employment Agreements – What Can We Learn from Ralph Lauren

by Shipman & Goodwin LLP on

One of the little facts that’s not widely known is that the SEC typically publishes all sorts of executive employment agreements for publicly-traded companies. They’re ready and available for download....more

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

FCPA Compliance and Ethics Report-Episode 181-Gar Hurst on Using Social Media Tools In Your Compliance Program

by Thomas Fox on

In this episode I visit with Gar Hurst, a partner at Givens and Johnston, an import/export compliance firm. He and his firm have developed a SW app, which capitalizes on social media concepts to assist his clients in import...more

Insurance Recovery Law - May 2015 #2

Recent Lawsuit Underscores Critical Lessons for Purchasers of Cyber Insurance - Why it matters: Columbia Casualty Company v. Cottage Health Systems was filed on May 7, 2015, in the Central District of California. Cottage...more

What is Bitcoin 2.0?

by Mimesis Law on

Jan. 21, 2015 (Mimesis Law) -- Houman Shadab, professor at New York Law School, talks with Lee Pacchia about the concept of Bitcoin 2.0 and the types of opportunities the crypto-currency presents for law students. ...more

Representing Others Before The SEC

by Allen Matkins on

Not too long ago, I wrote about the Shareholder Rights Project (SRP) at Harvard Law School, noting that the SRP’s website and correspondence to the Securities and Exchange Commission explicitly stated that the SRP was...more

Minority Powerbrokers Q&A: Carlton Fields' Ann Black

by Carlton Fields on

Ann Young Black is a shareholder and co-chairwoman of the financial services regulatory practice group at Carlton Fields Jorden Burt PA. She counsels financial services clients on a broad range of insurance, securities and...more

Shareholder Rights Project Rewrites Website

by Allen Matkins on

Last week when I visited the Shareholder Rights Project’s website, I noted that the SRP described itself as “representing and advising five institutional investors, four public pension funds and one foundation”. Not being...more

How This Investment Firm Hopes to Revolutionize Litigation in America

by Mimesis Law on

Oct. 30, 2014 (Mimesis Law) -- Ralph Sutton, Chief Investment Officer at Bentham IMF, talks with Lee Pacchia about the business of funding small to medium-sized plaintiffs in commercial and patent litigation around the world....more

The General Counsel Is Not The Shareholders’ Agent

by Allen Matkins on

A recent paper by Adair Morse, Wei Wang, and Serena Wu, Executive Gatekeepers: Useful and Divertible Governance, tackles interesting questions about the the effectiveness of internal gatekeepers and the impact of equity...more

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