• “Revolution in the Regulation of Financial Advice: The U.S., the U.K and Australia”
    (2012)

    Panelist, “Revolution in the Regulation of Financial Advice: The U.S., the U.K and Australia”, St. John’s Law School.

  • “Other Perspectives on Financial Products: Accounting and Litigation Considerations”, PLI Understanding Financial Products
    (2012)

    PLI Understanding Financial Products, Panelist “Other Perspectives on Financial Products: Accounting and Litigation Considerations”

  • In Pursuit Of Financial Fraudsters
    Law 360 (Subscription Required) | (12/22/2011)

    The U.S. Securities and Exchange Commission has been vocal about its pursuit of corporate executives it believes to have violated the federal securities laws.

  • The Clash of the SEC’s New “Pay-to-Play” Rules and Employees’ Rights to Participate in the Political Process
    Bloomberg BNA (Subscription Required) | (12/12/2011)

    Pension funds have recently been in the public eye due to major scandals in New York State and elsewhere in which investment advisers were accused of making payments to help themselves get government business.1 As part of a three year investigation into New York State’s $125 billion pension fund by former Attorney General Andrew Cuomo, eight individuals pleaded guilty in relation to the administration of these funds.2 As a result, the U.S. Securities and Exchange Commission (‘‘SEC’’) approved new regulations to curtail these payments by limiting political contributions. Although the new regulatory scheme promises to diminish the possibility of ‘‘pay-to-play,’’ it presents a new series of questions as to how it will impact statutorily protected employee lifestyle choices outside of the workplace, particularly employees’ involvement in the political process. The SEC failed to consider these lifestyle statutes when creating the new rules. While the SEC may be able to regulate investment advisers, will employers be able to control, punish or fire employees who violate the rules?

  • Morrison’s Far-Reaching Consequences
    Securities Litigation Journal | (December, 2011)

    Morrison has, and will continue to have, a significant impact on the reach of securities and non-securities law. In this article, we examine how the lower courts have applied Morrison and identify some of the issues raised in Morrison but not addressed by the decision itself.

  • SEC Adopts Large Trader Reporting System
    Journal of Investment Compliance | (November, 2011)

    SEC Adopts Large Trader Reporting System