Securities Finance & Banking Professional Malpractice

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
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"Auditors Must Beware the Consequences of Settling SEC Enforcement Actions"

The Securities and Exchange Commission (SEC) launched “Operation Broken Gate” in October 2013 to hold accountable those auditors who have intentionally or negligently violated professional auditing or accounting standards....more

SEC Nabs Immigration Lawyers Acting as Unregistered Brokers, Orders Fines and Disgorgement

In 2012, we wrote about the risky business of immigration lawyers accepting finder’s fees for selling limited partnership interests in EB-5 deals. For the past several years, securities law violations have been part and...more

PCAOB Announces First Settled Order with Admissions

Last week, the Public Company Accounting Oversight Board (PCAOB) joined the list of regulators who will, in certain circumstances, seek admissions of liability from audit firms and individuals in settlements. Although the...more

Ovitz/Eisner Disney corporation case study

Short case study of Disney's Corporation in re derivative litigation before the Supreme Court of the State of Delaware....more

VARIOUS LIABILITIES, RELIEFS, DEFENCES AND PROTECTIONS TO THE DIRECTORS OF COMPANIES UNDER INDIAN LAWS

A company is legally separate and distinct from its members. It is ultimately an artificial creation and it acts through its servants or agents. The decisions of a majority of its members in general meetings are regarded as...more

Defendant Stockbroker’s Summary Judgment Motion Granted Against Unfair Competition Claim Focusing on Securities Transactions

An unfair competition claim brought against a stockbroker under California Business & Professions Code section 17200 must be dismissed on summary judgment because it is based on securities transactions. This was the February...more

Online Broker Not Liable for Preventing Investor from Losing Money

On January 4, 2011 the U.S. District Court for the Eastern District of California issued unpublished opinion dismissing claims by an investor against online broker TD Ameritrade. In Holland v. TD Ameritrade, Inc., 2011 U.S....more

Selecting the Right Independent Accounting Expert

Professional accounting designations (CPA, CIA, and CFE) each denote a distinct skill and experience set, and many professionals possess more than one of these qualifications. Selection of the best qualified individuals to...more

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

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

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

NASD Data Now a Click Away on the World Wide Web

Report on availability of broker disciplinary information on the Internet and implication for fiduciaries....more

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