Publications
By: "New Edition Can Aid Commercial Litigators ,"
Philadelphia Bar Reporter
(December 2012)
"New Arbitration Program vs. Going to Court ,"
Law 360
(August 29, 2012)
"You Received a Customer Complaint. What Do You Do Next?,"
Westlaw News & Insight Securities Blog
(August 13, 2012)
"National Survey on Restrictive Covenants,"
(2012)
"A Guide To Answer That Age-Old Question: So What Does It Mean To Know Your Customer?,"
(May 2012)
"Private Equity and Hedge Funds: Regulatory Analysis and Structural Overview,"
(May 2012)
"The STOCK Presents Pitfalls for the Private Sector,"
Westlaw News & Insight Securities Blog
(May 17, 2012)
"Expungement of Forms U-4 and U-5; Potentially a Reality,"
Westlaw News & Insight Securities Blog
(April 12, 2012)
"Social Media or Fraud - You Decide ,"
Westlaw News & Insight Securities Blog
(March 1, 2012)
"Email is Great…Until it is a Fraud,"
Securities Industry Practice Alert
(February 2012)
"Congress Finally Addresses Insider Trading. . . For Itself,"
Westlaw News & Insight Securities Blog
(February 16, 2012)
Author: "SEC Alerts Investment Advisers About Risks Posed by Social Media,"
Westlaw News & Insight Securities Blog
(January 11, 2012)
Author: "SEC to Heighten Its Focus on Counsel’s Conduct,"
Westlaw News & Insight Securities Blog
(December 22, 2011)
Author: "SEC likely to continue improving its enforcement track record,"
Westlaw News & Insight Securities Blog
(November 15, 2011)
Author: "Expect More Investigations and Enforcement Actions From CFTC,"
Westlaw News & Insight Securities Blog
(October 25, 2011)
Author: "Broker-dealers may end up with a ‘hybrid’ fiduciary standard,"
Westlaw News & Insight Securities Blog
(October 3, 2011)
Author: "Bill May Mean New Self-regulatory Agency for Investment Advisers,"
Westlaw News & Insight Securities Blog
(September 12, 2011)
Co-author: "What To Do When A Ponzi Scheme Is Uncovered: A Roadmap for Compliance and In-House Counsel,"
NSCP Currents
(September / October 2011)
Author: "Can the SEC Guard Against 'Unintended Consequences' of Whistleblower Rules?,"
Westlaw News & Insight Securities Blog
(August 26, 2011)
Author: "Reporting Broker-dealer Misconduct Under FINRA Rule 4530,"
Westlaw News & Insight Securities Blog
(August 10, 2011)
Author: "House Bill Would Encourage SEC Whistleblowers to Use Company Programs First,"
Westlaw News & Insight Securities Blog
(July 25, 2011)
Author: "FINRA Rules Could Create a De Facto 'Uniform' Fiduciary Standard,"
Westlaw News & Insight Securities Blog
(July 14, 2011)
Author: "Investment Advisers Face More Regulation of Social-Media Use,"
Securities Law Blog
(June 28, 2011)
Author: "The Risks of Overzealous Advocacy in SEC Proceedings,"
Securities Law Blog
(June 9, 2011)
Author: "SEC May Enlist FINRA for Oversight of Investment Advisers,"
Securities Law Blog
(June 6, 2011)
Author: "FINRA Proposed Rule Would Mandate Disclosure of 'Shelf Space' Payments,"
Westlaw News & Insight Securities Blog
(May 16, 2011)
Author: "Handling Client Complaints,"
Westlaw News & Insight Securities Blog
(May 5, 2011)
Author: "Advisers Can Stave Off Client Suits with Frequent Communication,"
Westlaw News & Insight Securities Blog
(April 14, 2011)
"Brokers and Advisers Beware: Taking Customer Information Could Get You Fined and Suspended,"
Securities Industry Practice Alert
(April 2011)
Author: "Advisors Can Lower the Risk of Lawsuits by Careful Screening of Clients,"
Westlaw News & Insight
(March 29, 2011)
Author: "SEC Aims for Transparency in Incentive-Based Pay Packages,"
Westlaw News & Insights
(March 10, 2011)
Author: "Private-Placement Disclosure Under FINRA's Proposed Rule 5122,"
Westlaw News & Insights
(February 24, 2011)
Author: "Self-Reporting of Broker-Deal Misconduct Under FINRA Rule 4530,"
Westlaw News & Insight
(February 18, 2011)
"Important Maintenance Measures for Registered Investment Advisors,"
Securities Industry Practice Alert
(February 2011)
"New Proposed Accredited Investor Standard for the SEC,"
Securities Industry Practice Alert
(February 2011)
"Proposed FINRA Rule Impacts Private Placements,"
Securities Industry Practice Alert
(February 2011)
"New FINRA Rule: Customers May Now Opt for Three Non-Industry Panelists in FINRA Arbitrations,"
Securities Industry Practice Alert
(February 2011)
Author: "Private Funds Are Affected by Proposed SEC Rules,"
Westlaw News & Insights
(January 31, 2011)
Author: "The Whistleblower Debates,"
Westlaw News & Insight
(January 17, 2011)
Author: "SEC to Press Reform Despite Change in Congress,"
Westlaw News & Insight Securities Litigation Blog
(November 22, 2010)
"SEC Adopts New Rule Preventing Unfiltered Market Access,"
Securities Industry Practice Alert
(November 2010)
"Advisors: Beware of the “Switch” From SEC Oversight to State Regulation ,"
Securities Industry Practice Alert
(September 2010)
"Dodd-Frank Wall Street Reform and Consumer Protection Act: Consumer Financial Protection Act,"
Securities Industry Practice Alert
(August 2010)
"Dodd-Frank Wall Street Reform and Consumer Protection Act: Implications for Insurers, Reinsurers, Producers and Brokers,"
Securities Industry Practice Alert
(August 2010)
"FINRA Opens Up Brokers' Closets Even Further ... and for Longer,"
Securities Industry Practice Alert
(July 2010)
"The Dodd-Frank Wall Street Reform and Consumer Protection Act: Whistle-Blower Provisions and Fiduciary Duty Standards,"
Securities Industry Practice Alert
(July 2010)
"The Dodd-Frank Wall Street Reform and Consumer Protection Act,"
Securities Industry Practice Alert
(July 2010)
"Broker Beware: New FINRA Guidance Suggests Renewed Regulatory Focus on Broker-Dealers Involved in Regulation D Offerings,"
Securities Industry and Tech & Venture Finance Practice Alert
(May 2010)
Author: "SEC Enforcement and Securities Law in the Wake of the Financial Crisis,"
Inside the Minds
(March 2010)
Co-author: "FINRA's Guidance on Social Media Web Sites,"
Securities Industry Practice Alert
(January 2010)
Co-author: "FINRA's Enforcement Process Steps Up in 2010,"
Securities Industry Practice Alert
(January 2010)
Co-author: "Some Thoughts for Your Annual Compliance Review: Red Flags and AML Procedures,"
Securities Industry Practice Alert
(January 2010)
"Series LLCs and Their Use in the Securities Industry,"
Securities Industry Practice Alert
(January 2010)
Author: "How Recent Court Developments Could Affect Arbitration's Future: From Hall Street to Stolt-Nielson to Anti-Arbitration Legislative Proposals,"
American Arbitration Association Dispute Resolution Journal
(October 2009)
"A Guide to Every Day Risk Avoidance Techniques and How to Address a Customer Complaint,"
(October 1, 2009)
"New Disclosure Rules: More Regulation for Registered Representatives,"
Securities Industry Practice Alert
(September 2009)
"SEC Enforcement Staff Gains Subpoena Power (and Other Evolutions in the Division's Authority and Responsiveness),"
Securities Industry Alert
(August 2009)
"Raising International Regulatory Standards and Cooperation in Troubled Times,"
Securities Industry Alert
(July 2009)
"The FRR Report Proposes a Resolution Regime to Aid Failing Firms,"
Securities Industry Alert
(July 9, 2009)
"FRR Report Proposes Three New Regulatory Agencies,"
Securities Industry Alert
(July 2009)
"FRR Would Decrease Reliance on CRAs and Increase Systemic Safeguards,"
Securities Industry Practice Group Alert
(July 2009)
"The Formation of a New Consumer Financial Protection Agency,"
Securities Industry Alert
(July 2009)
Co-author: "The Importance Of Vaden V. Discover Bank,"
Law360
(May 14, 2009)
Co-author: "Produce My Notes? I Thought That Was Work Product; Not Necessarily The Case Under SEC v. Roberts,"
The Legal Intelligencer
(January 30, 2009)
Author: "Every Day Risk Avoidance Techniques (Securities Law360),"
Securities Law360
(December 30, 2008)
Co-author: "Clients Affected by Madoff Scandal Should Take a Proactive Approach,"
Securities & Financial Institutions Compliance and Defense Alert
(December 2008)
Author: "Don't Get Stung...,"
ABF Journal
(October 01, 2008)
Co-author: "Lessons Learned From 'Creative Pipe',"
Law.com
(August 12, 2008)
Co-author: "A Creative Screening of Electronically Stored Information May Determine the Victor,"
The Corporate Counselor
(August 01, 2008)
Author: "Every Day Risk Avoidance Techniques,"
(June 30, 2008)
Author: "So You Want To Buy A Business - Caveat Emptor,"
Dynamic Business Magazine
(May 27, 2008)
Author: "The Unfulfilled Qwest for a "Selective Waiver","
The Legal Intelligencer
(July 03, 2006)
Co-author: "Preserving Attorney-Client Privilege, Work Product Doctrine,"
The Legal Intelligencer
(January 02, 2006)
Co-author: "Selective Waivers of the Attorney-Client Privilege,"
The Legal Intelligencer
(August 2002)
Co-author: "Screening Mechanisms: A Broader Application?,"
Temple Law Review
(January 04, 1999)