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“The Ins and Outs of E&O Coverage,” The Florida Review, Florida Securities Dealers Association, Inc. pps. 6-7, January 8, 2010.
“Broker Charm School,” The Florida Review, Florida Securities Dealers Association, Inc. pps. 4-5, January 5, 2010.
“Surviving Your First OTR: Ten Tips for Young Lawyers”, Securities Litigation Journal • Fall 2008
"Are Corporations 'Waiving' Good-bye to the Attorney-Client Privilege in Regulatory Proceedings?," 17(1) Securities Litigation Journal, (Fall 2006), co-authored with Stephen T. Gannon.
"Applying Zubulake in Securities Arbitrations: When is Cost Shifting Appropriate?," Securities Arbitration 2006 Coursebook (PLI Inc., 2006) pps. 71-84 co-authored with Derek Anderson.
"Variable Annuities: Defense Tactics Based on the latest Decisions" presented at the American Conference Institute – Broker/Dealer Forum on Resolving Customer Claims, New York, New York, May 2006.
"A Case Study of Two Hedge Funds: A Regulatory Framework and its Lessons For the Broker-Dealer Litigation," Securities Arbitration 2005 Coursebook, (PLI Inc., 2005) pps. 259-277, co-authored with Derek Anderson, presented August 17, 2005.
"Disproving Allegations of Broker Misconduct in Suitability, Misrepresentation and Unauthorized Trading Cases" and "Winning over the Arbitrators: Strategies for Defense Counsel Before and During Arbitration Hearings", presented at the American Conference Institute—the Broker/Dealers Defense Forum on Prevailing Against Customer Claims , New York, New York, May 2005.
"Class B Mutual Fund Shares: A Primer on Recent Regulatory Activity and Strategies for Arbitration Cases," Securities Arbitration 2004 Coursebook (PLI Inc., 2004) pps. 405-425, co-authored with Derek Anderson.
"Prevailing Against Misrepresentation Claims," and "Practical Strategies for Reducing Arbitration Awards," presented at the American Conference Institute—The Defense Counsel's Forum on Securities Arbitration, New York, New York, June 2004.
"Variable Annuities: An Overview of the Regulatory Landscape and Examination of Recent Litigation," 14(1) Securities News 17 (Spring 2004), co-authored with Derek Anderson.
"Variable Annuities: Has the Arbitration Floodgate Opened?," Securities Arbitration 2003 Coursebook (PLI Inc., 2003) pps. 19-43, co-authored with Derek Anderson.
"Issues of Supervision and the Arbitration of Trading Away Claims Against Non-Traditional Broker-Dealers," Hot Securities Litigation Issues in a Down Economy (MCLE, Inc.) (2002) pps. 421-617, presented November 7, 2002.
"The Arbitration of Trading Away Claims Against Non-Traditional Broker-Dealers," Securities Arbitration 2002 Coursebook (PLI Inc., 2002) pps. 619-805, presented August 2002.
"Independent Broker- Dealers and the Duty of Supervision," 12(1) Securities News 17 (Spring 2002).
"The State of Hedge Fund Regulation," 11(2) Securities News 24 (Summer 2001), co-authored with Kristopher Paulsen.
"Broker Charm School," Registered Representative (April 2001).
"Securities Mediation," presented at NASD Dispute Resolution's Northeast Mediation Advocacy Program, Boston, Massachusetts, April, 2001.
"Critical Journal Entries," Registered Representative (January 2001).
"Arbitrating Employment Disputes in the Securities Industry," Securities Arbitration 2001 Coursebook (PLI Inc. 2001) pps. 897-1007.
"Achieving Forgiveness," Registered Representative (November 2000).
"A Departing Broker's Bill of Rights," Registered Representative (September 2000).
"The Ins and Outs of E&O Insurance," Registered Representative (June 2000).
"Arbitrating Securities Industry Employment Disputes," presented at Tenth Annual New England Securities Conference (MCLE), Boston, Massachusetts, June 2000.
"The Last Detail," Registered Representative (March 2000).
Broker Dealer Litigation 1996 Annual Survey, co-edited with H. Nicholas Berberian (American Bar Association) (1997).
"The Arbitration of Securities Industry Employment Disputes," Securities Arbitration (MCLE, Inc.) (1996) pps. 239-339, presented April 1996.
Broker Dealer Litigation 1995 Annual Survey, co-edited with H. Nicholas Berberian (American Bar Association) (1996).
Broker Dealer Litigation 1994 Annual Survey, co-edited with H. Nicholas Berberian (American Bar Association) (1995).
Broker Dealer Litigation 1993 Annual Survey, co-edited with H. Nicholas Berberian (American Bar Association) (1994).
"Arbitration and Class Action Litigation: One Way Intervention Redux" 3 (3) Securities News 12 (Summer 1993), co-authored with Jack D. Ballard.
"New Developments in Securities Arbitration," Securities Arbitration (MCLE, Inc.) (1991), co-authored with Gerald F. Rath.
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