Securities Industry and Financial Markets Association "Compliance and Legal Division Seminar," "Securities Arbitration," Phoenix, AZ.
In every criminal case, the defendant must make a critical decision: go to trial or plead guilty. A slew of factors go into that decision. Three questions loom largest: how likely will the defense prevail at trial, what sentence do we anticipate if the defendant pleads guilty, and what is the likely sentence if the defendant is found guilty after trial? Here, we will concentrate on the latter two questions, which touch on the vagaries of sentences in securities fraud cases in the post-guidelines world.
Securities law practitioners should take note of a recent decision by United States District Judge Gerard E. Lynch, which marks the first use of the Securities and Exchange Commission’s new anti-fraud rules promulgated under the Investment Adviser Act.
“Capital Markets - Trading Issues for the Global Firm” Panel, SIFMA Compliance and Legal Division New York Fall Compliance Seminar.
“Internal Compliance Examinations (Large Firms)” Panel, NSCP 2008 National Membership Meeting, Philadelphia, Pennsylvania.
"Fraud in Markup: An Unusual SEC Decision," The Review of Securities & Commodities Regulation.