Published works by Harry Frischer

Published works

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

  Corporate Defense and Disputes · August 25, 2016

  LEX-WK-SE5Y3D9N
• In Conflict With Other Circuits, Seventh Circuit Rules That Certain Transfers Involving Financial Institution Intermediaries Not Immune From Recovery By Bankruptcy Trustee

  Corporate Defense and Disputes · August 2, 2016

  LEX-WK-0QNV9TWM
• Eleventh Circuit Clarifies Broker-Dealer’s Liability For Employee’s Fraud

  Corporate Defense and Disputes · June 2, 2016

  LEX-WK-BZVX99VE
• Supreme Court’s Manning Decision Leaves Questions Unanswered

  Corporate Defense and Disputes · May 17, 2016

  LEX-WK-1D7A7GB3
• NY Court Of Appeals Rejects No-Opt Out Class Action Settlement In Shareholder Litigation

  Minding Your Business · May 10, 2016

  LEX-WK-6BJ5V10M
• FINRA Proposes Arbitration Rule Change to Permit Offset of Awards

  Corporate Defense and Disputes · May 10, 2016

  LEX-WK-RKD4EKBF
• NY Court Of Appeals Rejects No-Opt Out Class Action Settlement In Shareholder Litigation

  Corporate Defense and Disputes · May 6, 2016

  LEX-WK-7DNYTYBZ
• No General Jurisdiction Over Out-of-State Firms Registering to Do Business in Delaware

  Corporate Defense and Disputes · April 19, 2016

  LEX-WK-NNDA8JD8
• Ketchum Clarifies How FINRA Will Assess a Firm’s Culture of Compliance

  Corporate Defense and Disputes · April 18, 2016

  LEX-WK-NBBSJA00
• First SEC Case Against Municipal Advisor Under New Fiduciary Duty

  Corporate Defense and Disputes · March 16, 2016

  LEX-WK-2W4NSFYY
• SEC’s 2016 Examination Priorities Focus on Retail Investors, Market Wide Risk and Use of Data Analytics

  Corporate Defense and Disputes · January 12, 2016

  LEX-WK-DDRPKT01
• FINRA’s 2016 Examination Priorities Identifies New Initiatives on Market Integrity and Firm Culture and Further Concern on Supervision and Controls

  Corporate Defense and Disputes · January 8, 2016

  LEX-WK-N8JF0CH4
• FINRA Arbitration Task Force Fails To Reach Consensus On Many Major Issues

  Corporate Defense and Disputes · December 21, 2015

  LEX-WK-PSKZN4WP
• SEC Proposal Would Limit Investment In Derivatives By Investment Companies

  Corporate Defense and Disputes · December 14, 2015

  LEX-WK-8NFQ0P4Y
• CFTC Proposes New Regulations For Algorithmic Trading

  Corporate Defense and Disputes · December 8, 2015

  LEX-WK-FGPDHB02
• SEC Once Again Sanctions The CCO of An Investment Advisory Firm

  Corporate Defense and Disputes · November 24, 2015

  LEX-WK-VQ12HZB3
• SEC Proposes Rules To Enhance Transparency And Oversight Of Alternative Trading Systems

  Corporate Defense and Disputes · November 19, 2015

  LEX-WK-982N1PKK
• SEC Director of the Division of Enforcement Discusses Market Structure Enforcement

  Corporate Defense and Disputes · November 4, 2015

  LEX-WK-HBXTZ5PV
• CFTC Chair Discusses the CFTC’s Response to Algorithmic Trading

  Corporate Defense and Disputes · October 23, 2015

  LEX-WK-PZBM3PTW
• SEC Chair Calls for Reexamination of Treasury Market Regulations in Light of High Speed Electronic Trading

  Corporate Defense and Disputes · October 21, 2015

  LEX-WK-YE6ZD2AZ
• CFTC Accuses Firm Manually Entering Orders Of Spoofing Scheme That Fooled Algorithmic Traders

  Corporate Defense and Disputes · October 20, 2015

  LEX-WK-QM74AQ4H
• SEC Accepts DC Circuit’s Decision Vacating Retroactive Punishment

  Corporate Defense and Disputes · October 16, 2015

  LEX-WK-PC79WCZ0
• Coding Errors Lead To SEC Sanctions for High-Frequency Trading Firm

  Corporate Defense and Disputes · October 1, 2015

  LEX-WK-9P0GANDZ
• SEC Sanctions Senior Executives Of Failed Clearing Broker

  Corporate Defense and Disputes · September 19, 2015

  LEX-WK-9QGPXBYT
• FINRA Bars Former President Of Broker-Dealer Along With Former Registered Representatives

  Corporate Defense and Disputes · September 16, 2015

  LEX-WK-NYS0FP21