SEC Overrules Its Own Administrative Law Judge to Clear Customer of Fraud Charges

August 25, 2016

Second Circuit Reinforces Liability Standard in Securities Cases Based on Statements of Opinion

March 10, 2016

CFTC Proposes New Regulations For Algorithmic Trading

December 8, 2015

SEC Once Again Sanctions The CCO of An Investment Advisory Firm

November 24, 2015

UK Regulators Address Manipulation of Trading Benchmarks and Other Misconduct

June 17, 2015

FINRA CEO Criticizes DOL Fiduciary Proposal (Again)

June 5, 2015

FINRA Introduces Revised Sanction Guidelines

May 14, 2015

Recent Appellate Decisions Limit Access To Customer Assets Held At Foreign Bank Branches

October 28, 2014

Second Circuit Rules That Derivatives Counterparty Is Not A “Customer” of Broker-Dealer Under FINRA Rules

October 20, 2014