Academic

Unregistered BD Defrauds Day Traders
I am often asked by prospective clients for ways to avoid registration as a broker-dealer. But here is one response that I did not consider - just ignore the registration rules and statutes!The SEC has announced that it obtained an emergency court order against an unregistered securities day-trading firm in La Jolla, Calif...

Web Site Enjoined From Posting
Web Site Enjoined From Posting Confidential DocumentsThe National Law JournalA federal judge in San Francisco has temporarily enjoined a Web site known for posting a wide array of confidential documents that allege skullduggery by companies and governments around the world...

Theft and Insider Trading
Posted by: Paul Rose In Friday's New York Times, Floyd Norris discusses a case in which a hacker obtained material, non-public information and made $296,456 in trading profits. Do insider trading laws require him to forfeit the gains? This situation...

Voluntary Disclosures Regarding Insiders’ Rule 10b5-1 Trading Plans
If a firm insider has private information and intends to trade on the basis of this information, the conventional wisdom is that the insider garners no strategic advantage from disclosing in advance of the trade the information or the intention to trade...

Baldwin on Emissions Trading
Robert Baldwin (London School of Economics (LSE) - Department of Law) has posted Regulation Lite: The Rise of Emissions Trading on SSRN. Here is the abstract: Emissions trading is the governmentally - promoted hope for a sustainable world...

Small-Time Insider Trading How Often Does it Happen
Recently we’ve been focusing on big-ticket items, like the implosion of a $1.6 billion hedge fund. How about a little insider-trading case to lighten up our Friday afternoon? According to a report on Dow Jones Newswires (link unavailable), the SEC said today that it filed an insider-trading complaint against Adrian P...

Trading Fraud
Former stock trader to pay $55,000 in CFTC settlement.

California Firm Recalls Ready-To-Eat Pork Products
California Firm Recalls Ready-To-Eat Pork Products

Colorado Firm Recalls Beef Products
Due To Possible E. coli Contamination

South Carolina Firm
Recalls Frozen Meat and Poultry Products

Firm Associate
Attorney Jay Wingate ordered to pay widow $2.5 million settlement for collected legal fees.

California Firm Recalls Beef and Bean Burritos for Possible Listeria Contamination
Beef & Bean Burritos Recalled by Windsor Foods