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[All Entries] The Cheshire Cat of Wall Street June 27, 2008 As a much younger man in 1983, I started my career on Wall Street in the Legal Department of what was then known as Smith Barney, Harris... | [Read On]
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Grassi, Jr. (NYSE): Forged drug prescription; Sanction fairness Case Analysis: SEC Appeal of Davrey Financial Services, Inc. and Pravin R. Davrey (NASD): Net Capital; FOCUS; Advertising, Letter of Caution Case Analysis: SEC Appeal of Nicholas T. Avello (NASD): Net Capital; FOCUS; Remand; Circuit Court of Appeals; Letter of Caution Case Analysis:  SEC Appeal of Rooney A. Sahai (NASD):Forgery; Failure to Cooperate Case Analysis: SEC Appeal of E. Magnus Oppenheim & Co., Inc. (NASD): Late FOCUS Report Case Analysis:  SEC Appeal of Michael A. Rooms (NASD): Penny Stock; Obstruction of Investigation Case Analysis:  SEC Appeal of Harry M. Richardson (NASD): Statutory Disqualification; Permanent Injunction; Bar Case Analysis:  SEC Appeal of Morton Kantrowitz (NASD): Statutory Disqualification; Permanent Injunction; Guilty Plea Case Analysis:  SEC Appeal of Guang Lu (NASD): Unauthorized Discretion; U4   2004 Articles   Case Analysis:  SEC Appeal of Lee Gura (NASD) Case Analysis: In the Matter of James F. Glaza (SEC) Case Analysis: Deutsche Bank Securities (NYSE) Case Analysis: X, a Former Representative (NYSE Hearing Panel Decision) Case Analysis: Fidelity Brokerage Services, LLC (SEC and NYSE) New York State Insurance Department Regulation 60 materials Case Analysis:  SEC Appeal of Chris Dinh Hartley (NASD) Case Analysis:  Clarke T. Blizzard and Rudolph Abel (SEC/RIA) Case Analysis:  SEC Appeal of Reuben D. Peters and Peters Securities, Co. LP (NASD) Case Analysis:  SEC Appeal of Gina M. Guzzone (NASD) Case Analysis:  NASD Hearing Panel Decision Richard S. Jacobson Case Analysis:  NASD Hearing Panel Decision Gregory A Eastman Case Analysis: SEC Appeal of Anthony H. Barkate (NASD) Case Analysis: SEC Appeal of Mark H. Love (NASD) Case Analysis: SEC Appeal of Bloomberg L.P. (NYSE) Case Analysis: SEC Appeal of Amr Elgindy and Key West Securities, Inc. (from NASD) Case Analysis: SEC Appeal of Toni Valentino (from NASD) Case Analysis: SEC Appeal of Dane S. Faber (from NASD) 2003 Articles Inspector Javert: Milkmen, Barbers and Stockbrokers/ 03-04 Inspector Javert: Running with Blinders/ 03-03 Inspector Javert: Peeing in the Pool/ 03-02 Inspector Javert the ex-State Examiner:/03-01 Goliath versus Goliath (Labranche e-mail controversy) NASD Solves Crisis of Confidence on Wall Street:  Dramatic Proposals Call for Scrutiny of Bad Guys! Singer's Discordant Notes 03-15: SEC Finally Gets It Right Singer's Discordant Notes 03-14: Iced Coffee Singer's Discordant Notes 03-13: The Great Pretender Singer's Discordant Notes 03-12: Wall Street Settlement Letter to NASD Requesting Investigation of PRU RR agreement Wachovia/Prudential:  RRs' Transitional Compensation. NASD Consultative Committees 2002 Articles New Jersey IA rules NYS revises IA de minimis exemption NASD Regulatory Releases: Disparate Treatment? NTM 02-57: Revised Negative Response Letter Policy NASD Says: Can't Trust RRs with Wall Street Reform SEC Revises Corporate Insider Reporting  NASD RULE 2711: When Size Matters Employee Forgivable Loans: Repayment Defense Trying to Trade Out of Financial Woes -- Don't In the aftermath of Spitzer/Merrill: Regulatory Sanctions Discount Commissions, Online Trading, and Analysts Borrowing Money from Customers Reappraising Self-Regulation/Part III NASDR Rule 3030: Pitfalls of Starting a BD Reappraising Self-Regulation/Part II Reappraising Self-Regulation/Part I 2001 Articles Open Letter to NASD: Help Wall Street Looking Out for U™: The Court's TRO Decision SROs: Quasi-Governmental or Private? Looking Out for U™: In court with a TRO The Hidden Danger of Outside Consultants' Reports Looking Out for U™: Responding to TROs Looking Out for U™: Quitting Jobs The Trader's Edge™:Execution and Supervision Looking Out for U™:NASD's Client Account Transfer Proposal Looking Out for U™:The TRO Online Attacks: Protected Speech or Fraud? Looking Out for U™: The Association Agreement Premiere Edition of Looking Out for U™ Premiere Edition of The Trader's Edge™: Series 55 SEC Brings Internet Smear Case On-the-Record Interviews at NASD: Because we say so! NASD NTM 01-06: Inter-customer lending NASD Proposes Contested Election Amendments 2000 Articles Cheap Shots, Bona Fides and Last-Minute Regulation Wall Street and Felonies Part II: Statutory Disqualification Wall Street and Felonies Part I: Form U-4 Disclosures NASD's New 3-Quote Rule Negative Response Letters Digital Signatures and Securities Industry Transactions Online BD Margin Practices NASDAQ Listing: Bad Boys Beware! Can, Will or Should NASD Survive? Recordings and Price Predictions (III) Your Word Against the Customer's (II) Should You Settle or Fight (I)? Series 55: Who needs to register? NASD Hard-to-Borrow List SEC Reverses NYSE Stale Prosecution NASD's E-Mail Fiasco! Series 55 Deadline Nears NASD Demutualization and Regulatory Reform Arbitrating Discrimination Matters Error Accounts On-Line Short Sales OTCBB: Recap and symbols 1999 Articles On-Line Short Sales OTCBB:Recap and symbols SEC's Microcap Agenda NASD to Codify Free-Riding Assault on the Floor of the NYSE Employment Agreements/Part I Employment Agreements/Part II Employment Agreements/Part III Employment Agreements/Part IV New NASD Clearing Firm Rules Churning: Definitions and Calculations Understanding Scienter and Fraud Mutual Fund Switching NASD Examination Waivers NASD Short Sales Notice to Members Your Right To Counsel in NASD On-the-Records SEC Amends Rule 504 of Regulation D SEC Sustains NASD's 2 Year Jurisdiction in Forgery Case Special Commentary: The Day Trading Witch Hunt NASD Day Trading Regulation Proposals NASD Notice to Members 99-12 Continuing Commissions After Death, Retirement, or BD's Sale Unregistered Order Takers During Volatile Markets Sales Practices Violations: Some Clear Definitions from SEC NASD Notice to Members 99-11 NYSE Rule 80A NASD Caves in to NASAA Pressure on Arbitration Orders SEC Sanctions Website Misconduct Aiding and Abetting Part 5 (Graham & Voss)/Supervision Aiding and Abetting Part 4 (Havill)/RR's Exposure Aiding and Abetting Part 3 (Chema)/RR's Exposure Aiding and Abetting Part 2 (Chema)/RR's Exposure New U.S. Supreme Court Ruling on Sexual Harassment/Discrimination * 1998 Articles Aiding and Abetting Part 1(Broumas) /Customer's Scheme SEC Brings Case, Loses, and Ordered to Pay Defendant SEC Criticizes NASD's Decision to Bar RR Private Placement Pitfalls NASD's Free-Riding and Withholding Interpretation Last Known Addresses on CRD Stock Promotion Payments SEC v. Olde Discount Part 4/ Sales Practice Abuses SEC v. Olde Discount Part 3/ Recruitment and Sales Practices SEC v. Olde Discount Part 2/ Compensation Practices SEC v. Olde Discount Part 1/ Sanctions Money Laundering, Jail, and RRs Tough Talk and Threats Gets RR Barred Small Firms' Compliance Responsibilities   THIS WEBSITE MAY BE DEEMED AN ATTORNEY ADVERTISEMENT OR SOLICITATION IN SOME JURISDICTIONS. AS SUCH, PLEASE NOTE THAT THE HIRING OF AN ATTORNEY IS AN IMPORTANT DECISION THAT SHOULD NOT BE BASED SOLELY UPON ADVERTISEMENTS. MOREOVER, PRIOR RESULTS DO NOT GUARANTEE A SIMILAR OUTCOME. NEITHER THE TRANSMISSION NOR YOUR RECEIPT OF ANY CONTENT ON THIS WEBSITE WILL CREATE AN ATTORNEY-CLIENT RELATIONSHIP BETWEEN THE SENDER AND RECEIVER. WEBSITE SUBSCRIBERS AND ONLINE READERS SHOULD NOT TAKE, OR REFRAIN FROM TAKING, ANY ACTION BASED UPON CONTENT ON THIS WEBSITE. 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