Catch Up on BrokeAndBroker Over the Holiday

May 27, 2011

 

 

 

 

 

 

 

The Cop-Killer's Intent: Supreme Court's Controversial Opinion

by Bill Singer

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Much of what goes on in courthouses, day in and day out, is pretty mundane. We lawyers often refer to such comings and goings as "garden variety" lawsuits -- he said, she said cases.  Fact is, as with any job or profession, after a while you've likely seen it all. . .

 

Did NASDAQ Use Software to Monitor Its Employees?

by Bill Singer

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I've gotten a number of queries from readers about the Department of Justice's criminal case and the Securities and Exchange Commission's ("SEC's") insider trading case against Donald L. Johnson, a former managing director of The NASDAQ Stock Market.  The SEC alleges that Johnson traded on confidential information that he stole while working [...]
 
 
May 26, 2011
On March 24, 2010, the Securities and Exchange Commission (SEC) alleged in a Complaint (SEC Complaint) filed in the United States District Court ... Read On
 
May 26, 2011
Morgan Keegan's FINRA Arbitration Settled -- sez who? May 26, 2011 In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of... Read On
 
May 26, 2011
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in December  2009, Claimants asserted causes of actio... Read On
 
May 26, 2011
In a Financial Industry Regulatory Authority ("FINRA") Arbitration Statement of Claim filed in October 2008, Claimant Charles Churchill asserted the f... Read On