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Securities Law Prof Blog

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Last Entry: March 31, 2011 at 16:18:26

Davidoff on Sec Reg in the New Millennium

Posted on January 11, 2008
Paradigm Shift: Federal Securities Regulation in the New Millennium, by STEVEN M. DAVIDOFF, Wayne State University Law School, was recently posted on SSRN. Here is the abstract: In May 2007, Oaktree Capital Management LLC, a U.S.-based hedge fund adviser with...

SEC Alleges Ponzi Scheme in Nebraska

Posted on January 11, 2008
The SEC obtained an order temporarily restraining Bryan S. Behrens and a private entity controlled by him, National Investments, Inc., from continuing to engage in the fraudulent offer and sale of securities. The federal district court for the District of...

SEC Bars Father and Son from Industry for Insider Trading

Posted on January 11, 2008
The SEC barred Elliot Joel Smith (E. Smith), of New York City, and his son, Gregg Ashley Smith (G. Smith), from associating with any broker-dealer because of alleged insider-trading. E. Smith was employed as the Managing Director of Broadband Capital...

Another Huge Write-Down Expected from Merrill

Posted on January 11, 2008
Merrill Lynch is expected to announce another huge write-down from mortgage investments next week -- $15 billion -- almost double its original estimate. It is looking to raise about $4 billion in capital from investors and may also sell some...

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Smart Money in Troubled Times

Posted on January 11, 2008
Lots of investors that are supposed to be the "smart money" are losing big by looking for opportunities in these troubled markets. Bank of America's $2 billion investment to shore up mortgage lender Countrywide Financial has turned out so badly...

Cadwalader Cuts 35 Attorneys

Posted on January 11, 2008
Cadwalader Wickersham & Taft said it will lay off 35 lawyers because of a decline in business in its finance and capital markets practice. The firm has a large structured finance practice that has been hit hard by the downtown...

SEC Ends Investigation into Usana

Posted on January 11, 2008
The SEC closed its investigation into Usana Health Services without taking any action. Usana sells vitamins, nutrition bars and skin-care products through a network of distributors who receive commissions on purchases for recruiting additional people to become distributors...

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