The SEC has instituted administrative proceedings against Wilson-Davis & Company (WDCO), a Utah broker-dealer, and certain associated persons for, among other things, improperly claiming the “bona- fide market making” exception to the requirement in Rule 203 of Regulation SHO to obtain a “locate” of stock before effecting short sales.
For the fifth year in a row, U.S. News & Best Lawyers selected Murphy & McGonigle as a National Tier One Law Firm. This year, we were honored in Securities Regulation, Litigation – Securities, and Corporate Law. Only 25 firms received National Tier One recognition in all three areas. As you can see below, we are the youngest and smallest firm among those 25 listed, by far.
'Having a culture of innovation in a law firm is unusual. Many lawyers are trained to be risk averse.' James Murphy keeps a laser focus on the changes affecting his financial services clients, while he also drives innovation at Murphy & McGonigle. Check out his interview here.
Brian Walsh speaks on the possible narrowing of CFTC enforcement under President-Elect Trump.
Rob Park served as guest speaker for ETHIC Intelligence’s annual breakfast on developments in anti-corruption compliance held in Paris on December 6, 2016. Rob is a member of the ETHIC Intelligence Certification Committee and presented on developments in jurisprudence and international case law.