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NASD, SEC and Regulatory Defense Blog 
Securities and regulatory defense trends and issues.
Post Frequency: 0.3/day Last Entry: June 29, 2009 at 09:53:30 Recent Entries: 36
By Michael MacPhail, Esq.
Go to NASD, SEC and Regulatory Defense Blog, find other Criminal Law blogs, or browse all law blogs.
The Subprime Crisis: A Major Shift in Priorities for the SEC
Posted on April 07, 2008Caught flatfooted by the meltdown in the subprime mortgage market, the SEC belatedly is investigating whether any wrongdoing occurred. The origin of the subprime crisis is worth revisiting. In a business environment featuring increasing home prices and significant demand for homes, ?prime? borrowers with good credit locked in their rates...
HOW TO ACHIEVE A LENIENT SETTLEMENT WITH THE SEC
Posted on November 28, 2007A recent settlement in an SEC case against an attorney accused of engaging in an illegal scheme to ?pump and dump? the shares of a microcap company demonstrates the value of persistence and good lawyering in litigation against the agency. In an earlier article posted on this blog, I wrote that SEC v...
SEC Examinations: A More Hostile Approach?
Posted on November 11, 2007The SEC examination staff?s use of a new letter request directed to registered investment advisers signals a more hostile approach to industry participants, and raises the risk of unjustified adverse findings of deficiency...
Brookstreet Securities Collapse: Where Were the Regulators?
Posted on July 16, 2007The recent collapse of Brookstreet Securities raises serious questions about the efficacy of regulation by the SEC, the NASD and state regulators. In late June, Brookstreet fell below net capital requirements and shut it doors after its clearing firm, National Financial Services (?NFS?) suddenly wrote down the price of extremely risky and illiquid collateralized mortgage obligations (?CMO?s?) that Brookstreet had sold to its retail customers...
Is Your Qualified Intermediary a Thief?
Posted on May 31, 2007Someone once asked Jesse James why he robbed banks, to which he responded ?because that?s where the money is!? Recent events demonstrate that, like James, certain qualified intermediaries involved in so-called ?1031 Exchanges? are unable to resist the temptation to rob investors...
Parallel Insider Trading Charges Filed Against 13 Individuals
Posted on March 02, 2007Yesterday, the SEC charged 13 individuals with insider trading in stocks that were the subject of research by UBS Financial Services, and takeover deals in the works at Morgan Stanley. [1] Collectively, the complaint alleges, the defendants made at least $15 million in illicit profits from these two insider trading schemes...
Previous
Medical Malpractice: Your Case Is On The Trial Calendar-Can Defense Lawyers Talk to Your Doctor?
Your New York attorney has notified the Court that your case is re...
The Grave Risk of Harm Defense in Hague Child Abduction Cases
A major debate is under way as to the future of the “grave risk ...
New Baptist Covenant Blog
Last week, I pointed to the New Baptist Convenant website, now onl...
The Mexico Trucker Blog
I've written before about the perceived problems with relaxed rest...
Highlands Act Upheld: eminent domain by regulatory taking denied
In a 35-page opinion issued Friday, August 10, 2007, and app...
Self Defense
It's legal to defend yourself and your family
My fiance's check is DD into a local credit union. Bank seems to have a pattern of "invisibly holding" charges from the debit card until just HOURS before his DD is processed (and this is after hours, of course). Over th
Have your fiance take the information you've collected and go into the bank...
It is my understanding that the 6th Amendment requires, that if you can't afford a lawyer in a criminal case, the Court must provide a lawyer in your defense at no charge to you. However, in a civil case no such protecti
That is not entirely true, even in the case of criminal cases. The court will pr...
I was called to give a deposition for the defense and the defendant is the person who stole our car, there is a chance that I will be called to satisfy at his trial. How can I get out of this, as my husband is to testify
If you were subpoenaed for the deposition you will need to appear or face prosec...
Is it libel to write blog posts and/or online reviews about a local business that defames one's reputation?
Libel is the form of defamation expressed in fixed-- usually written form. Sland...
How can I make my blog more popular?
You have to write and submit articles, with backlinks to your blogsite....
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Parallel parking gone bad. Too much gas UES NYC
On 08-18 at 21:41PM
UES NYC
On 08-18 at 21:25PM
Twitter suspends journalist critical of broadcast partner's coverage on dubious grounds @guyadams #nbcfail #twitterfail
On 07-30 at 17:57PM
Model example of 1st Amendment suppression by the People of New York City's Michael Bloomberg #OWS #NYPD
On 07-12 at 21:07PM
AG Holder lackadaisical on Operation in our Sites domain name seizures & RIAA lobbied free speech suppression @dajaz1
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Why is the Catholic Church going to court over Obama contraception policy? @NewYorker commentary
On 05-31 at 10:08AM
Monks sue Louisiana for right to sell caskets made from forrest destroyed by Katrina
On 05-31 at 07:47AM
Are the abortion ultrasound laws headed for the Supreme Court?
On 05-15 at 21:52PM
My fiance's check is DD into a local credit union. Bank seems to have a pattern of "invisibly holding" charges from the debit card until just HOURS before his DD is processed (and this is after hours, of course). Over th
Have your fiance take the information you've collected and go into the bank...
It is my understanding that the 6th Amendment requires, that if you can't afford a lawyer in a criminal case, the Court must provide a lawyer in your defense at no charge to you. However, in a civil case no such protecti
That is not entirely true, even in the case of criminal cases. The court will pr...
I was called to give a deposition for the defense and the defendant is the person who stole our car, there is a chance that I will be called to satisfy at his trial. How can I get out of this, as my husband is to testify
If you were subpoenaed for the deposition you will need to appear or face prosec...
Is it libel to write blog posts and/or online reviews about a local business that defames one's reputation?
Libel is the form of defamation expressed in fixed-- usually written form. Sland...
How can I make my blog more popular?
You have to write and submit articles, with backlinks to your blogsite....
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