More in Litigation

  • Aug 18, 2012

    The Form U-5: Why New York Got It Wrong 1

    Richard Roth, Esq., of The Roth Law Firm, opines, now that the dust has settled on the controversial decision in Rosenberg, which deemed Form U-5 statements immune from defamation litigation, the New York courts simply got it all wrong....More
  • Jul 27, 2012

    Why the SEC Should Not Be Untouchable

    Throughout the rise of the financial industry, there has been a justifiably strong desire on the part of individuals and broker-dealers to hold the SEC accountable for its regulating (or lack thereof) of the securities market....More
  • Jul 13, 2012

    The Whistleblower Act – Is It Working?

    Since the August 2011 adoption of the Dodd-Frank Wall Street Reform and Consumer Protection (Dodd-Frank) Act, the barriers for employees of SEC-regulated corporations and financial institutions to report wrongdoing by their companies (known as whistleblowing) have been significantly lowered....More
  • May 24, 2012

    Reg FD May Protect Facebook, Morgan Stanley 1

    Considering investors have filed a class-action lawsuit against both Morgan Stanley and Facebook over the selective disclosure that occurred before the firm’s IPO, it is worth reading this great post by Josh Brown on his Reformed Broker blog about what kind of disclosure is legally required prior to an IPO....More
  • May 10, 2012

    New Salvos Fired in Merrill Deferred Comp Case

    The heated battle between Bank of America/Merrill Lynch and former brokers Tamara Smolchek and Meri Ramazio over unpaid deferred compensation continues to rage....More
  • Apr 4, 2012

    Rebuked In $10 Million Comp Case, Merrill Fires Back

    In a scathingly-worded decision, a Financial Industry Regulatory Authority arbitration panel ruled Tuesday that Merrill must pay $10 million to two brokers, Meri Ramazio and Tamara Smolchek. The panel said Merrill fraudulently prevented the brokers from ......More

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