December 1, 2023 – Article Divergent Paths of Crypto Fraud Enforcement: How Three Major U.S. Agencies Police Fraud New York Law Journal Arthur G. Jakoby, Maxim M.L. Nowak and Joshua J. Schoch
November 20, 2023 – Article Representing Member Firms and Associated Persons in the Disclosure U5 Process: A Primer and Common Pitfalls Bloomberg Law - Practical Guidance Howard R. Elisofon and Maxim M.L. Nowak
March 21, 2023 – Securities Alert Insider Trading’s New Frontier: What Companies and Individuals Need to Know about Enforcement Under the SEC’s Recently Amended Insider Trading Rule
May 23, 2022 – Securities Alert US Appellate Court Holds that SEC Use of Administrative Proceedings to Adjudicate Enforcement Actions is Unconstitutional Herrick, Feinstein LLP
March 11, 2022 – International Alert Recent Russia-Related Sanctions Orders Raise Potential Compliance Concerns Herrick, Feinstein LLP
February 22, 2022 – Securities Alert SEC Issues Warning to All Crypto Lenders and Participants Following BlockFi Consent Order Herrick, Feinstein LLP
December 22, 2021 – Securities Alert Investor Wins Rare Victory Against SEC’s Time-Tested Theory that Risky Investment Success Proves Insider Trading Arthur G. Jakoby, Howard R. Elisofon and Joshua M. Herman
June 2018 – Securities Alert Second Circuit Amends Martoma Insider Trading Decision Arthur G. Jakoby, Howard R. Elisofon and Meaghan Roe
August 2017 – Securities Alert Second Circuit’s Martoma Decision Enhances the Government’s Ability to Prosecute Insider Trading Cases Howard R. Elisofon and Arthur G. Jakoby
August 2017 – Securities Alert First Appellate Decision Involving Federal Anti-Spoofing Provision Sends Clear Message to the Market Howard R. Elisofon and Arthur G. Jakoby
September 2016 – White Collar Update New Jersey Federal Criminal and Regulatory Alert Victor J. Rocco
June 2016 – Securities Alert SEC Fines Morgan Stanley $1 Million for Failing to Secure Client Data Herrick, Feinstein LLP
June 2016 – Securities Alert FINRA Adopts New Rule 2272 Regarding Securities Offers and Sales on Military Installations Howard R. Elisofon
June 2016 – Securities Alert Minority Partners Risk Huge Losses When Wrongfully Dissolving a Partnership Ron Levine
June 1, 2016 – Securities Alert Divided Appellate Court Rebuffs Challenges to the SEC’s Administrative Proceedings Howard R. Elisofon and Arthur G. Jakoby
December 10, 2014 – Securities Alert Second Circuit Narrows the Government's Ability to Prosecute Insider Trading Arthur G. Jakoby
February 20, 2014 – Securities Alert Court Decision Makes Fund Managers Engaged in Insider Trading Personally Liable for Fund Trading Profits Howard R. Elisofon
May 27, 2013 – Article SEC v. SIPC: What the Battle to Define ‘Customer’ Means For Stanford Investors and Victims of Financial Fraud at Large Bloomberg BNA Securities Regulation and Law Report Howard R. Elisofon
March 2013 – Securities Alert U.S. Supreme Court Limits Timing of Federal Enforcement Actions Arthur G. Jakoby
February 2012 – Securities Alert CFTC Finalizes Changes to CPO and CTA Registration and Compliance Rules Arthur G. Jakoby
August 2011 – Securities Alert Federal Appeals Court in New York Approves Picard's Calculation Method, Disappointing So-Called "Net Winners" Howard R. Elisofon
November 2010 – Securities Alert Bankruptcy Judge Approves Procedures to Facilitate Claw Back Litigation Against Madoff Investors Howard R. Elisofon
September 2010 – Article The Road to Expungement Grows Longer Securities Arbitration Commentator Howard R. Elisofon
July 2008 – Article U.S. SEC Insider Trading Suits Against Foreign Citizens Increasingly Lead to Freezing of Assets World Securities Law Report Howard R. Elisofon
June 9, 2008 – Article Crossing Our Borders: Insider Trading, A Global Perspective Securities Regulation & Law Report Howard R. Elisofon
January 2008 – Securities Alert U.S. Supreme Court's decision in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. Howard R. Elisofon, Arthur G. Jakoby
1985 – Article SEC Investigations The Review of Securities and Commodities Regulation, Vol. 18, No. 4 Ira Lee Sorkin, Arthur G. Jakoby
