As the year draws to a close, there are proposals on Capital Hill which could significantly redraw the regulatory landscape in 2010, beginning with a proposal to bring back the Glass-Steagall Act. A new report raises significant concerns regarding the …

THIS WEEK IN SECURITIES LITIGATION (December 30, 2009) Read More »

Departing from its seemingly unbroken string of investment fund and Ponzi scheme cases, the Commission brought an action against a registered representative based on claims of churning the non-discretionary securities accounts of two Florida municipalities. Using an investment strategy based …

ANOTHER INVESTMENT FRAUD CASE – BUT IT’S CHURNING Read More »