A Cautionary Tale Concerning
SEC Gatekeeper Liability
The Legal Intelligencer
Monday, February 27, 2006
Prior to the last couple of years, except for a few notable exceptions a number of years ago, the Securities and Exchange Commission had not brought enforcement actions against attorneys rendering legal advice. That has changed.
Marking the Close and Other
Deceptive Trading Practices
The Legal Intelligencer
Wednesday, December 28, 2005
Securities markets are only as honest as the people who operate them, and some of the people who operate them are not always honest. The Securities Exchange Act of 1934 reflects this and seeks to curb deceptive trading practices that manipulate the market.
