Professional Malpractice

Read Securities Law news, alerts, and legal commentary from leading lawyers and law firms:

News & Analysis as of May 20, 2013

COMMENTS ABOUT SEC V. THOR INDUSTRIES: THE ALLEGATIONS AND THE REMEDIES DAVID TATE ESQ 06092011

by David Tate on 6/9/2011

A summary and discussion about SEC v. Thor Industries, including the allegations, the remedies, who did or did not do what, and improvements that could be made by the SEC and in governance and risk....more

The Network of Trial Law Firms Offers FREE Online CLE

by Larry Bodine on 4/11/2011

Shouldn't CLE be free? Now it is, as The Network of Trial Law Firms today launched its TRIAL.COM Online CLE Center at www.TRIAL.COM/cle. The service is 100% free and attorneys watching the videos can qualify for CLE credit in...more

D&O, GRC and Accountant Update 8.28.10

by David Tate on 8/28/2010

D&O, GRC and Accountant Update 8.28.10, the new SEC proxy access rules, and links to articles of interest. Dave Tate, Esq. http://davidtate.us...more

D&O, Governance, Risk, Compliance and Accountant Update 8.20.10

by David Tate on 8/20/2010

D&O, Governance, Risk, Compliance (GRC) and Accountant Update 8/20/10....more

Main Street Takes On Wall Street's Untouchables - the Lawyers & Accountants

by Brian Mahany on 12/25/2009

A brief discussion on third party liability of professionals (Aiding & Abetting liability). Posted by Attorney Brian Mahany, founder of MahanyLaw....more

Audit Committee Annual Self Evaluation Form

by David Tate on 10/25/2009

Audit committee annual self evaluation form in Adobe allowing for information input....more

Audit Committee Agenda April 1, 2009

by David Tate on 4/1/2009

Audit Committee Agenda updated April 1, 2009...more

Audit Committee Responsibilities & Risk Management

by David Tate on 9/26/2008

Public and private company audit committee responsibilities and risk management....more

The Little Paper About Nonprofit Audit Committees

by David Tate on 9/26/2008

A paper discussing nonprofit audit committee functions and responsibilities....more

Governance Lessons Learned From SEC v. Con-way, Inc.

by David Tate on 8/30/2008

Governance lessons learned from SEC v. Con-way, Inc....more

The Sarbanes-Oxley Act of 2002

by Paul Cain on 7/30/2008

This is a memo that I wrote as part of a practicum/internship component of a study-abroad program that I attended in Santiago, Chile during the summer of 2008. It provides a general overview of the Sarbanes-Oxley Act, as...more

Caveat Consiliator: Let The Adviser Beware -- Imposing Fiduciary Duties on Fee-Based Financial Professionals

by JASON KUESER on 4/1/2007

The author argues that fee-based financial professionals (i.e., stockbrokers, financial advisors, financial planners) should be subject to per se fiduciary duties. The article was published in the Spring 2007 edition of the...more

Caveat Consiliator

by JASON KUESER on 4/1/2007

This article was published in the Spring 2007 edition of the PIABA Bar Journal. The author argues that fee-based investment advisors should be subject to per se fiduciary duties....more

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