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14 Dec When is an investor responsible for his or her own investment decisions?

Posted at 15:51h in Securities Litigation & Regulation by Ron Wood

A recent FINRA administrative action against Merrill Lynch sanctioned the firm when “several hundred” customers of its Puerto Rico office invested in Puerto Rican government bonds and Puerto Rican closed-end funds, some using borrowed money and some buying on margin. When the value of the...

14 Dec BWO Partner Ken White Speaks At Cato Institute’s “The State of American Criminal Justice” Conference

Posted at 15:41h in Criminal Defense by Brown White & Osborn LLP

Last week Brown White & Osborn LLP partner Ken White spoke at the Cato Institute's "The State of American Criminal Justice" conference. His panel discussion, "Inside the Courtroom," can be seen here....

09 Dec When the Brakes of Heavy Regulation Work on Only One Side of the Car

Posted at 21:30h in Securities Litigation & Regulation by Ron Wood

How is this as a “reward” for cooperation: you’re a financial institution who learns that some of your customers have violated the terms of their loan agreement with an affiliate and used borrowed funds to invest in the stock market, some even having invested on...

December 2016

14 Dec When is an investor responsible for his or her own investment decisions?

14 Dec BWO Partner Ken White Speaks At Cato Institute’s “The State of American Criminal Justice” Conference

09 Dec When the Brakes of Heavy Regulation Work on Only One Side of the Car

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