Securities Archives – Walden Consultants LLC

`Stupid and Sloppy’ Legal Work Nevertheless Yielded Boston Lawyer Millions in Fees

As published on Legal Newsline June 26, 2019: BOSTON (Legal Newsline) – A lawyer at the center of the scandal over the $300 million settlement of a State Street securities case told a federal judge in Boston it was “stupid and sloppy” to sign a false application for his firm’s Read more…

By dan@waldenconsultants.com, 5 years ago

Securities

Can FINRA exploit loophole the Supreme Court closed for SEC?

My latest piece on Legal Newsline: WASHINGTON — The U.S. Supreme Court closed a loophole when it ruled in Kokesh v. SEC that the Securities and Exchange Commission is limited to a five-year statute of limitations even in disgorgement orders. But FINRA, the Financial Industry Regulatory Authority, may still consider Read more…

By dan@waldenconsultants.com, 7 years ago