TITLE

A Chilling Effect On Brokers' Lawyers

AUTHOR(S)
Friedlander, Josh
PUB. DATE
October 2004
SOURCE
Investment Dealers' Digest;10/18/2004, Vol. 70 Issue 40, p15
SOURCE TYPE
Trade Publication
DOC. TYPE
Article
ABSTRACT
Focuses on the agreement of the U.S. Securities and Exchange Commission to reconsider a ruling issued against retail broker James Glaza on alleged attorney misrepresentation. Absence of exemption from registration; Stipulations of facts in the case; Possibility of disbarment of the attorney.
ACCESSION #
14740205

 

Related Articles

  • SEC Lawyers Defend Markup Standards, Seek Reversal of Ruling. Hume, Lynn // Bond Buyer;7/10/2002, Vol. 341 Issue 31424, p6 

    Focuses on the appeal to reverse the ruling of the Securities and Exchange Commission on the securities fraud law cases in the U.S. Submission of SEC enforcement division; Lack of specific regulatory guidelines on markups; Market prices of the securities.

  • Dolphin & Bradbury, Robert Bradbury Seek to Overturn SEC Fraud Ruling. Hume, Lynn // Bond Buyer;9/13/2006, Vol. 357 Issue 32465, p6 

    The article reports on the request forwarded by Dolphin & Bradbury and its executive, Robert J. Bradbury, to a federal appeals court concerning the ruling of the Securities and Exchange Commission on the supposed violation of the company of the securities fraud law in Washington. Specifically,...

  • SEC Won't Appeal Court's Hedge Fund Decision. Hume, Lynn // Bond Buyer;8/8/2006, Vol. 358 Issue 32440, p44 

    The article reports on the announcement of U.S. Securities and Exchange Commission chairman Christopher Cox that the agency will not appeal the hedge fund decision of a federal appeals court. The rule requires hedge fund advisers to register with the commission as investment advisers. According...

  • SEC Bars, Fines Calif,-Based Broker From Market Over Mum Bond Prices. Hume, Lynn // Bond Buyer;10/2/2006, Vol. 358 Issue 32478, p37 

    The article reports that the U.S. Securities and Exchange Commission has barred Robert K. Malkin, Cantella & Co. broker, from the securities markets for at least a year. He was ordered by the agency to pay a total of $175,217 and $50,000 for his charging customers non-market related prices for...

  • No More Bayous? Hintze, John // Securities Industry News;11/7/2005, Vol. 17 Issue 37, p1 

    Comments on the examination procedure imposed by the U.S. Securities and Exchange Commission for hedge fund registrations to avoid fraud. Inclusion of the affiliation of hedge funds with broker-dealers in the examination of registrants; Services offered by brokers to hedge funds; Problem faced...

  • SEC Announces Civil Fraud Action Against 5 Brokers, Branch Mgr. Of Prudential Securities On Funds Trading.  // Insurance Advocate;11/10/2003, Vol. 114 Issue 42, p11 

    Reports that the Securities and Exchange Commission announced a civil fraud action against brokers and a branch manager formerly employed by Prudential Securities Inc. in connection with their market timing trades in mutual funds. Background of the case; Allegations of misrepresenting their...

  • Fraud Detection, Governance Among 2014 SEC Priorities. Mont, Joe // Compliance Week;Feb2014, Vol. 11 Issue 121, p7 

    The article discusses the examination priorities of the U.S. Securities and Exchange Commission for 2014. It states that it will be a roadmap on how exchanges, self-regulatory organizations, and broker-dealers will be scrutinized. It notes the priorities which includes stress fraud detection and...

  • SEC Requests Time for Investors and Brokers to Respond to Court Decision on Fee-Based Accounts.  // ComplyNet;May2007, p9 

    This article reports on the plan of the U.S. Securities and Exchange Commission (SEC) to ask the U.S. Court of Appeals for the District of Columbia Circuit to allow four months for investors and their brokers to respond in light of the court's decision in Financial Planning Association versus...

  • Why We're Suing. Barnash, James A. // Financial Planning;Jul2005, Vol. 35 Issue 7, p128 

    Discusses the issues surrounding the ruling of the U.S. Securities and Exchange Commission which exempts specific brokers from disclosure standards. Terms of the ruling; Reaction of various parties towards the ruling; Impact of the ruling on the financial planning industry.

Share

Read the Article

Courtesy of VIRGINIA BEACH PUBLIC LIBRARY AND SYSTEM

Sorry, but this item is not currently available from your library.

Try another library?
Sign out of this library

Other Topics