Securities Professional Malpractice Business Torts

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.
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“Related Acts” Reduce Insurer’s Exposure by Half

The Eighth Circuit Court of Appeals recently held that, under Minnesota law, multiple wrongful acts by a financial advisor to four plaintiffs are “interrelated” and “logically connected” within the meaning of the policy’s...more

Financial Advisory Update

Novel theories by plaintiffs’ lawyers need to foster novel approaches by M&A lawyers. A number of recent cases highlight the increasing risks for financial advisors and the lawyers who represent them. Financial...more


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

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

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

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

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

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

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

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

Audit Committee Agenda April 1, 2009

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

Audit Committee Responsibilities & Risk Management

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

The Little Paper About Nonprofit Audit Committees

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

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

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

The Sarbanes-Oxley Act of 2002

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

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

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