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Securities Law Prof Blog

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Post Frequency: 38.1/day

Last Entry: March 31, 2011 at 16:18:26

SEC Brings Insider Trading Charges Involving CDSs

Posted on May 05, 2009
The SEC filed a civil action in the United States District Court for the Southern District of New York on May 5, 2009, alleging that Renato Negrin, a former portfolio manager at hedge fund investment adviser Millennium Partners, L.P., and...

FINRA Bars Former Citigroup Broker for Defrauding Nun

Posted on May 05, 2009
FINRA announced today that it barred broker William Joseph Boyle from the securities industry for wrongfully converting and using funds from customer accounts and for failing to cooperate with FINRA investigators. Boyle's misconduct occurred both while he was working for...

Senior Investment Protection Act Introduced in Senate

Posted on May 04, 2009
There was recently introduced in the Senate the Senior Investment Protection Act of 2009 (S. 906) that would provide grants to states to establish programs to combat misleading and fraudulent marketing techinques aimed at senior investors, including the use of...

Schapiro Addresses Mutual Fund Directors

Posted on May 04, 2009
SEC Chair Mary Schapiro gave an Address at the Mutual Fund Directors Forum Ninth Annual Policy Conference: Critical Issues for Investment Company Directors, on May 4, 2009. Among the topics covered was target date mutual funds: However, target date funds...

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Spindler on IPO Underpricing

Posted on May 03, 2009
IPO Underpricing and Disclosure, by James C. Spindler, University of Southern California Law School, was recently posted on SSRN. Here is the abstract: Using a unique data set, I find that U.S. IPO prospectus disclosure dramatically affects the degree of...

Karmel on Voting Power

Posted on May 03, 2009
Voting Power Without Responsibility or Risk - How Should Proxy Reform Address the Decoupling of Economic and Voting Rights?, by Roberta S. Karmel, Brooklyn Law School, was recently posted on SSRN. Here is the abstract: The regulation of proxy voting....

SEC Announces Short-Selling Roundtable Speakers

Posted on May 01, 2009
The SEC announced the agenda and panelists for its May 5 roundtable to discuss short sale price tests and short sale circuit breakers: Panel One: Market Changes and Investor Confidence; Are short sale price tests or short sale circuit breakers...

Cuomo and Other States Form Task Force on Pension Fund Abuse

Posted on May 01, 2009
New York Attorney General Andrew Cuomo announced the creation of a multi-state task force to explore pension fund abuse so that states can share information to prosecute wrongdoing and facilitate nationwide reform. His office also announced that it has issued...

SEC Charges Aldus Equity Partners in New York Pension Plan Fraud

Posted on April 30, 2009
The SEC announced charges against Dallas-based Aldus Equity Partners, L.P. and one of its founding principals, Saul Meyer, in connection with a multi-million dollar kickback scheme involving New York's largest pension fund. According to the SEC, Meyer and Aldus participated...

SEC Announces an Industry & Markets Fellows Program

Posted on April 30, 2009
The SEC today announced a new effort to identify and assess risks in the financial markets by attracting seasoned industry professionals to the agency's Office of Risk Assessment. The new Industry and Markets Fellows Program will help the agency expand...

SEC Charges Former Citigroup Investment Banker with Insider Trading Scheme

Posted on April 30, 2009
On April 30, 2009, the SEC filed a civil action in the United States District Court for the Northern District of California against Maher Kara, his brother Michael Kara, and others. The Commission alleges that Maher Kara, a former Citigroup...

Call for Papers -- Law, Entrepreneurship & Economic Recovery

Posted on April 30, 2009
CALL FOR PAPERS UMKC LAW REVIEW Fall 2009 Symposium Issue LAW, ENTREPRENEURSHIP & ECONOMIC RECOVERY The UMKC Law Review, published by the University of Missouri-Kansas City School of Law, is calling for papers by legal scholars addressing the potential for...

NASAA President Testifies on Life Settlement Fraud

Posted on April 29, 2009
State securities regulators continue to see problems of fraud and abuse in the growing life settlement industry and outlined for Congress the need for strong regulation of these financial products by appropriate regulatory authorities, NASAA President and Colorado Securities Commissioner...

Ernst on Obama's Team of Bankers

Posted on April 29, 2009
Dan Ernst has a great posting on the Legal History Blog on the legislative origins of the federal securities legislation and the brain power assembled by Felix Frankfurter to accomplish the task. He concludes: Analogizing across a historical divide like...

Court Enjoins Georgia Broker Charged with Defrauding Elderly Customer

Posted on April 29, 2009
The SEC announced today that the federal district court for the Northern District of Georgia entered default judgment as to defendants Frederick J. Barton ("Barton"), Barton Asset Management, LLC ("Barton Asset Management"), and TwinSpan Capital Management, LLC ("TwinSpan") on April...

SEC Obtains Emergency Relief against Beverly Hills Hedge Fund Operator

Posted on April 29, 2009
On April 29, 2009, the SEC obtained a court order halting a hedge fund fraud based in Beverly Hills, California. The SEC's complaint alleges that Bradley L. Ruderman ("Ruderman") raised at least $38 million from about twenty investors since at...

FINRA Fines Member for Failure to Protect Customer Information

Posted on April 28, 2009
FINRA announced today that it has fined Centaurus Financial, Inc. (CFI), of Orange County, CA, $175,000 for its failure to protect certain confidential customer information. Centaurus was also ordered to provide notifications to affected customers and their brokers and to...

Cunningham on The New Federal Corporation Law

Posted on April 28, 2009
The New Federal Corporation Law?, by Lawrence A. Cunningham, George Washington University Law School, was recently posted on SSRN. Here is the abstract: Could a preemptive federal incorporation law today assume the enabling character of traditional state corporation law, instead...

McTier & Wald on Causes of Securities Class Actions

Posted on April 28, 2009
The Causes and Consequences of Securities Class Action Litigation, by Brian Carson McTier, University of Texas at San Antonio, and John K. Wald, University of Texas at San Antonio, was recently posted on SSRN. Here is the abstract: We test...

The Causes and Consequences of

Call for Papers -- AALS Section on Securities Regulation

Posted on April 28, 2009
Call for Papers AALS Section on Securities Regulation "Responding to the Financial Crisis: Change is in the Air" 2010 AALS Annual Meeting New Orleans, Louisiana The Executive Committee of the AALS Section on Securities Regulation invites you to submit a...

SEC Charges Former Officers of American Home Mortgage Investment with Accounting Fraud

Posted on April 28, 2009
On April 28, 2009, the SEC filed a civil action in the United States District Court for the Southern District of New York against former officers at American Home Mortgage Investment Corp., Michael Strauss, Stephen Hozie and Robert Bernstein, charging...

Tulsa Attorney Settles Insider Trading Charges with SEC

Posted on April 28, 2009
The SECfiled a civil action in the United States District Court for the Northern District of Oklahoma on April 28, 2009, alleging that Matthew J. Browne, a Tulsa, Oklahoma attorney, engaged in insider trading in securities of then Nasdaq-listed SemGroup...

NASAA President to Testify on Life Settlements

Posted on April 28, 2009
NASAA President and Colorado Securities Commissioner Fred Joseph is scheduled to testify on April 29 before the U.S. Senate Special Committee on Aging in a hearing exploring the growing life settlement industry and its impact on seniors. The hearing, ?Betting...

SEC Obtains Emergency Relief Against Connecticut Hedge Fund

Posted on April 27, 2009
On April 27, 2009, the SEC filed an emergency action in the United States District Court for the Western District of Texas to halt an on-going multi-million dollar fraud involving investments in a Stamford, Connecticut-based hedge fund and its affiliates...

SEC Obtains Freeze on Assets of Danny Pang

Posted on April 27, 2009
The SEC obtained an emergency court order freezing the assets of Newport Beach, Calif.-based financier Danny Pang and his two companies for allegedly defrauding investors of hundreds of millions of dollars by misrepresenting investments in the life insurance policies of...

Posted on April 27, 2009

Two Defendants in Dick's Sporting Goods Insider Trading Case Settle with SEC

Posted on April 27, 2009
On April 17, the U.S. District Court for the Western District of Pennsylvania entered Final Judgments against Joseph J. Queri, Jr.and Kyle D. Kaczowski in two separate district court cases. The Commission charged them, and fourteen other defendants, with insider...

FINRA Proposes Expansion of BrokerCheck

Posted on April 27, 2009
FINRA is proposing a major expansion of its BrokerCheck service ? to make records of final regulatory actions against brokers permanently available to the public, regardless of whether they continue to be employed in the securities industry. Under current rules,...

Seton Hall Symposium Call for Papers

Posted on April 27, 2009
SETON HALL LAW REVIEW Symposium October 30, 2009 Seton Hall Law School Newark, NJ Securities Regulation and the Global Economic Crisis: What Does the Future Hold? CALL FOR PAPERS The SETON HALL LAW REVIEW will be hosting a Symposium on...

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