Securities malpractice exposure: client representation - certain problematic solutions

Article Abstract:

Three situations exist that may expose the securities lawyer to the risk of malpractice. The first is confusing the interests of a corporate officer with those of the corporate client. Maintaining effective communication procedures to adequately complete disclosure documents is required by the SEC and failure to do so could mean liability. Finally, the manner in which counsel that resigns due to client misconduct may inform successor counsel of the hazards involved.

Analysis, Practice of law, Attorney and client

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"Tips" to avoid corporate/securities malpractice

Article Abstract:

There are several causes of action that can expose a securities attorney to malpractice liability. Some common situations that can result in liability are discussed. Actions that law firms can take to avoid them are suggested.

Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors, Securities & Commodities Regulatn, Practice, Securities law, Legal malpractice, Due diligence

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The SEC and prime bank securities frauds: past, present and future

Article Abstract:

The history of a type of securities fraud called the "prime bank" fraud is traced. The use of the Internet to perpetrate the scheme , as well as action taken against it by the SEC, is examined.

Internet, Remedies, Securities fraud, United States. Securities and Exchange Commission

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