Media

1. Interactive Brokers ordered to pay $1.2 mln for trustee's 'reckless' trades April 28, 2015 — Thomson Reuters
2. COMPLY-Altering documents trips up brokerage staff, triggers headaches December 4, 2014 — Thomson Reuters
3. SEC Slaps Wells with $5M Fine for Insider Trading Failures September 23, 2014 — FundFire
4. SEC's Fleming Pushes to Charge Advisors to Fund Exams August 22, 2014 — FundFire
5. New case alleges improprieties at Wall St. watchdog February 24, 2014 — Thomson Reuters
6. Finra Wins OK for Plan to Publicize More Actions Vs. Brokers June 24, 2013 — The Wall Street Journal
7. Email Failures Can Hurt Brokers, Too May 30, 2013 — The Wall Street Journal
8. Data Sheds Light on All-Public Arbitration Outcome [VIDEO] December 19, 2012 — The Wall Street Journal
9. Data Sheds Light on All-Public Arbitration Outcomes November 20, 2012 — The Wall Street Journal
10. Morgan Keegan and ex-NBA star in dispute over interest November 19, 2012 — Thomson Reuters
11. Exclusive: Merrill misstep may hurt battle vs. broker claims May 25, 2012 — Thomson Reuters
12. 3rd DCA unmoved by Miami Beach millionaire's appeal over Amex charge January 25, 2012 — Daily Business Review
13. Sophisticated Investor Defense Losing Steam January 20, 2012 — The Wall Street Journal
14. The legal landscape for MF Global's Jon Corzine November 2, 2011 — Thomson Reuters
15. Intersection Ahead: The Perils of Parallel Proceedings Continuing Legal Education Course
16. Finra fines five brokerages for improper 'handling fees' September 7, 2011 — Thomson Reuters News & Insight
17. Lehman Pursues Former Brokers' Bonuses August 16, 2011 — Wall Street Journal
18. What The Credit Downgrade Means For You [VIDEO] August 7, 2011 — NBC New York
19. Will Ferrell, Others Lose Case Against J.P. Morgan November 18, 2010 — Wall Street Journal
20. When The SEC Calls Your Clients [VIDEO] September 17, 2010 — Market Watch
21. No Pity for Advisers Who Overcharge August 4, 2010 — Financial Adviser by Dow Jones
22. Finra Panel Orders JP Morgan To Pay Customer More Than $2M July 18, 2010 — Securities News & Law Directory
23. Arbitration Awards Are Too Mysterious May 10, 2010 — Financial Adviser by Dow Jones
24. COMPLIANCE WATCH: Arbitration Awards Are Too Mysterious May 6, 2010 — The Wall Street Journal
25. Industry Frets Over SEC Custody Proposal May 18, 2009 — The Compliance Exchange
26. Industry Frets Over SEC Custody Proposal May 18, 2009 — The Wall Street Journal
27. Facing Judgement June 23, 2008 — JCU, traderdaily.com
28. But the Oracle Said It Was OK. January 1, 2008 — JCU, traderdaily.com
29. There's A New Sheriff in Town August 3, 2007 — JCU, traderdaily.com
30. Press Tycoon Done In by Videotape July 13, 2007 — JCU, traderdaily.com
31. Another Mission Accomplished Goes Unaccomplished February 22, 2007 — JCU, traderdaily.com
32. Securities Arbitration vis a vis Securities Litigation: To Be or Not To Be March 2006 — Bloomberg Law Reports®
33. Halftime at the Enron Trial March 28, 2006 — JCU, traderdaily.com
34. The Top 5 of ‘05 December 27, 2005 — JCU, traderdaily.com
35. The Sheriff of Wall Street or Just Another Wall Street Lawyer? December 2, 2005 — JCU, traderdaily.com
36. Bad News, Except for the Lawyers October 17, 2005 — JCU, traderdaily.com
37. Greed Is Good : Not Anymore September 21, 2005 — JCU, traderdaily.com
38. Down On the Bayou August 29, 2005 — JCU, traderdaily.com
39. Choices and Lies, or Evil? February 7, 2006 — JCU, traderdaily.com
40. Prevailing Against Customer Claims May 24, 2005 — American Conference
41. Faun M. Phillipson, Fairness of Contract vs. Freedom of Contract: The Problematic Nature of Contractual Obligation in Premarital Agreements
    1998 — 5 Cardozo Women's L.J. 79