The Securities Litigation Expert Blog
SEC Regulation Best Interest - FINRA RN 19-26
IPO Churning - It Ain't What it Used to Be (And it Never Was)
SEC Regulation Best Interest - The Final Rule
Jack Duval Quoted in AdvisorHub Article on Protecting Senior Investors
SEC Regulation Best Interest - State Fiduciary Laws
SEC Regulation Best Interest - Lost Gains Cases
SEC Regulation Best Interest - Reasonable Care
Protecting Senior Investors - Deconstructing a Supervisory Failure
SEC Regulation Best Interest - The Prudent Expert Standard
SEC Regulation Best Interest - The Five-Part Test
The Historical Origins of Fiduciary Duties
FINRA's Proposed Changes to the Churning Rule
Comparing SEC Regulation Best Interest to Existing FINRA Rules
SEC Regulation Best Interest
Premeditated "C" Share Churning at Morgan Stanley?
Protecting Senior Investors - 2nd Circuit Decision
Leveraged and Inverse ETFs - Tracking Error
Jack Duval Launches RIA Firm Bantam Inc.
Protecting Senior Investors - Nationwide Elder Fraud Sweep
Volatility-Linked Products - Complexity Risk Strikes Again
Protecting Senior Investors - FINRA FAQs
Jack Duval Quoted in MarketWatch Article on CoCo Bonds
The Accelerant Arbitration Market Indicator - December 2017 Update
Volatility-Linked Products - Bank of America Strategic Return Notes
Private Equity - Due Diligence
Volatility-Linked Products - Death By a Thousand Cuts
Volatility-Linked Exchange-Traded Products
The Accelerant Arbitration Market Indicator - August 2017 Update
The DOL Fiduciary Rule - Reasonable Compensation and Index Funds
The DOL Fiduciary Rule - Risk Tolerance Questionnaires
The DOL Fiduciary Rule - Investment Policy Statements
The DOL Fiduciary Rule - Shifting the Burden of Proof
The DOL Fiduciary Rule - Due Diligence
The DOL Fiduciary Rule - Prudent Expert Standard
DOL Fiduciary Rule Expert Jack Duval Interviewed on Podcast
The DOL Fiduciary Rule and Securities Litigation
The Accelerant Arbitration Market Indicator - April 2017 Update
The Accelerant Arbitration Market Indicator - March 2017 Update
Jack Duval Publishes Protecting Senior Investors White Paper
The Accelerant Arbitration Market Indicator - January 2017 Update
Protecting Senior Investors - FINRA Rule Changes
Protecting Senior Investors - Defining "Senior"
Protecting Senior Investors - Knowing Dementia
Protecting Senior Investors - Regulatory Timeline
Money Market Fund "Liquidity"
Jack Duval Publishes Municipal Bond and MSRB Rule E-Book
Warning: Contingent Convertible Bonds are Insurance
Litigation Costs May Sink Deutsche Bank Contingent Convertible Bonds
PREPA Restructuring?
The Illusion of Liquidity in High Yield and Distressed Debt
The Third Avenue Focused Credit Fund Implosion
What's Going on in High Yield and Distressed Debt?
Puerto Rico Superbonds: GOs Drink Agency Milkshakes
Insurance-Linked Securities: Correlation in Hiding
Insurance-Linked Securities: Speculative with High Complexity Risk
FINRA: Santander Failed to Update Risk on Puerto Rico Munis - See Our Suitability Matrix
The Accelerant Arbitration Market Indicator - September 2015 Update
UBS Hit with $34 Million in Fines over Puerto Rico Funds
Jack Duval Quoted on Wells Fargo AWC over Complex Investments
Puerto Rico Debt Crisis Puts Focus on Insurers
Accelerant Publishes Guide to Puerto Rico Capital Structure
Puerto Rico to Default/Reorg/Restructure Municipal Bond Debt
The Accelerant Arbitration Market Indicator - June 2015 Update
The Accelerant Arbitration Market Indicator - May 2015 Update
Former Brokers Sue UBS of Puerto Rico
Fitch Downgrades Puerto Rico GO Debt to B - Watch Negative
Litigation Alert: Now Batting - Shale Bonds
Jack Duval Publishes Company Town Investing White Paper
Puerto Rico: Did Section 936 Cause the Secular Decline? Yes.
Accelerant Weekly Link Roundup
Accelerant Weekly Link Roundup
Accelerant Weekly Link Roundup
Accelerant Weekly Link Roundup
Liquid Alternatives - Is Democratization a Good Thing?
UBS Puerto Rico Forced Brokers to Sell Proprietary Closed-end Funds - New Evidence
Puerto Rico: Evidence for Diversification
Payton Manning - Over-Sharpening the Saw?
Accelerant Weekly Link Roundup
The Accelerant Arbitration Market Indicator - Year-end 2014 Update
Puerto Rico: Correlations Across Company Town Assets
Puerto Rico: A Company Town with One Large Exposure
Company Town Investing: The Case of Puerto Rico
Accelerant Weekly Link Roundup
Accelerant Weekly Link Roundup
Accelerant Weekly Link Roundup
Manufacturing Investment Complexity - The Wall Street Playbook
Accelerant's Weekly Link Roundup
Complex Investments and the Curse of Knowledge
Accelerant's Weekly Link Roundup
Accelerant's Weekly Link Roundup
Len Santoro, Fixed Income Expert, Joins Accelerant
Accelerant's Weekly Link Roundup
Complex Investments: Evidence from 10-K Filings
Market Efficiency and Its Role in Securities Litigation
Accelerant's Weekly Link Roundup
The SEC's War on Jargon in Complex Investment Filings
Accelerant's Weekly Link Roundup
The Accelerant Arbitration Market Indicator - September 2014 Update
Accelerant's Weekly Link Roundup
CalPERS Looking to Reduce Investment Complexity
Accelerant's Weekly Link Roundup
Accelerant's Weekly Link Roundup
Accelerant's Weekly Link Roundup
Monday's S&P Call Notes on Puerto Rico
Accelerant's Weekly Link Roundup
Puerto Rico Municipal Bond Crisis Wiki Launched
The Accelerant Arbitration Market Indicator - July 2014 Update
Accelerant's Weekly Link Roundup
CDS ETFs: Reaching New Highs (Lows?) in Complex Investments
Accelerant's Weekly Link Roundup
Puerto Rico Municipal Bond Crisis: Downgrades, Padilla Ready to Sue
Act 3 for the Puerto Rico Municipal Bond Crisis? No, Act 71
Puerto Rico Municipal Bond Crisis, Next Up: Muni Funds and Monolines
Accelerant's Weekly Link Roundup
Puerto Rico Municipal Bond Crisis: On the Precipice
Saturday Morning Post from Accelerant
Puerto Rico Municipal Bond Crisis: Haircuts Ahead
Puerto Rico Municipal Bond Crisis Update: A 1-2 Combo Last Week
The Accelerant Arbitration Market Indicator Index - June 2014 Update
Jack Duval Publishes White Paper on Complexity Risk
SEC Defining Risk as Complex Investments
The "Plain English" Disclosure Documents of Complex Investments
The Art of Complex Securities Litigation
Complex Investments Alert: How iShares Made the P/E Ratio Complex
How Portfolio Margin can Increase Leverage by 15X
Complex Investments have Complex Disclosure Documents
The Accelerant Arbitration Market Indicator Index - Update
How "Flash Boys" Create Complex Investments with Market Structure
After AWC, LPL Sets up Complex Investments Team
Accelerant Expert Tom Brakke Publishes New Book
Analysis of FINRA Arbitrator James H. Frank Decisions
Do Complex Investments Yield Higher Returns? No.
Economic Theories about Complex Investments
Puerto Rico Debt Rally Continues
The Accelerant Arbitration Market Indicator Index Ticks Higher
Financial Advisor Licensing for Complex Investments
Are Financial Advisors Being Trained for Complex Investments?
Ph.D-Level Disclosure Documents for Complex Investments
Regulatory Responses to Complex Investments
Accelerant is Pleased to Announce New Corporate Twitter Account
Puerto Rico Debt Crisis Approaching a Minsky Moment
Cognitive Limitations to Understanding Complex Investments
Do Sophisticated Investors Understand Complex Investments?
Understanding Portfolio Margin
Complex Investments that Even Financial Advisors Don't Understand
The Accelerant Arbitration Market Indicator Index - Update
High Education is no Guarantee to Understanding Even Simple Investments
Douglas Engmann Joins Accelerant LLC
Accelerant Publishes Puerto Rico Municipal Bond Crisis White Paper
S & P Puerto Rico Credit Ratings Downgrade Call Notes
The Disclosure Documents of Complex Investments are Hard to Read
Most Retail Investors Don't Understand Complex Investments
Increasingly Complex Investments for Retail Investors
Puerto Rico Debt Crisis Conference Notes
Brokers Suing Firms Over Complex Investments
Steve Pomerantz, Ph.D. Joins Accelerant LLC
Understanding FINRA Suitability Rule 2111 - Prospectus Delivery and Suitability
Understanding FINRA Suitability Rule 2111 - Leveraged and Inverse ETF Suitability
The Accelerant Arbitration Market Indicator Index - Update
Understanding FINRA Suitability Rule 2111
Understanding FINRA Suitability Rule 2111 - Recommendations to Hold
Understanding FINRA Suitability Rule 2111 - The Three Components of Suitability
Specialist Suitability Obligations - Who's Ultimately Responsible?
Specialist Suitability Obligations - Representative-Specialist Interactions - Part 2
Specialist Suitability Obligations - Working with a Specialist
Specialist Suitability Obligations - Working with Clients
Specialist Suitability Obligations - Representative-Specialist Interactions
Specialist Suitability Obligations - What is a "Specialist"?
Specialist Suitability Obligations - Introduction and Background
FINRA Rule 2111 - Reasonable-Basis Suitability
Puerto Rico Municipal Bond Crisis - Individual Municipal Bonds
Puerto Rico Municipal Bond Crisis - The Effects of Double Leverage
Puerto Rico Municipal Bond Crisis - Understanding Closed-end Bond Funds
Puerto Rico Municipal Bond Crisis - 2006 Government Shutdown and Recession
Puerto Rico Municipal Bond Crisis - Adverse Tax and Trade Policies
Puerto Rico Municipal Bond Crisis - Unfunded Pension Fund Data
Accelerant Insurance Expert John Duval, Sr. Quoted in MarketWatch Article
Accelerant Arbitration Market Indicator Flashes Highest Sell Signal Since 2000
Puerto Rico Municipal Bond Crisis - Unfunded Pension Funds
Sustainable Withdrawal Rates - Revisited
Puerto Rico Municipal Bond Crisis Research - Labor Force and Unemployment
Demonstration Blog Post
The Puerto Rico Municipal Bond Crisis in One Chart
Oppenheimer Municipal Bond Fund Puerto Rico Exposure
Puerto Rico Debt Exposure by Fund Family
Puerto Rico Economic Activity Index From 2005
Puerto Rico Municipal Bond Crisis Research Links
UBS Puerto Rico Municipal Bond Funds Overview
FINRA Issues Regulatory Notice 13-31 Suitability
FINRA Moves Closer to Fiduciary Standard with Conflicts Report
Accelerant Publishes New White Paper: "Suitability Obligations When Using Specialists"
Accelerant CEO Jack Duval Quoted in BBC "Riskology" Article on Financial Fraud
FINRA Focusing on Private Placements
Accelerant Launches Mock and Shadow Securities Arbitration Panel Product
Leveraged and Inverse ETFs: Trojan Horses for Long-Term Investors
Arbitrator Analyzer™ Product Simplifies FINRA Rank and Strike List Review
3 Dangerous Trends for Senior Investors
FINRA CEO Ketchum Calls for a Uniform Fiduciary Standard for Broker Dealers
Will the 60/40 Allocation Make It Through the Next Cycle?
Florida State Court Rules State Statues of Limitation Apply to FINRA Arbitrations
Buyers Panic Continues in High Yield
How Big Data is Changing the Legal Services Landscape
FINRA Issues NTM Regarding Unlisted REITs
New York City Bar Securities Arbitration and Mediation CLE Program
Finra Appoints First Chief Economist
IOSCO Publishes "Regulation of Retail Structured Products" Report
This Can Only End Badly: Central Banks are Buying Equities
S&P Defense on Ratings Case: We Are Biased and Incompetent
New Financial Assets Increase Market Risks
Finra Cracking Down on Unauthorized Discretion
Finra Moves to Simplify Arbitrator Selection Process
Student Loan Bubble Update
Tableau Files for IPO
The Yield Bubble - China Edition
Bubble Alert - Student Loan Defaults up 36% Y/Y
Risks of Structured Products
Protecting Senior Investors - Finra Product Focus Areas
Structured Products - Some Definitions
Goldman Sachs to Make Structured Products Available to Investment Advisors
9th Annual Fulbright and Jaworski Litigation Trends Report - Alternative Fee Edition
Independent Valuations of Structured Products from EDI
Study Shows AAA CDOs Were Structured to BBB Support
New Swiss Rules on Structured Product Distribution
Compliance for Crowdsourced Private Placements?
St. Louis Fed on Bank Complexity (It's Worst Than You Thought)
Ernst & Young CEO says Investments are Too Complex
Big Data for Big Cities
2013 SEC Examination Priorities
All About Hedge Funds - Second Edition
Master Limited Partnership Bubble Now Well Documented
Practice Note: Tablets Invade the Courtroom
SEC Using Algos to Detect Fraud
The Death of the Billable Hour
Finra Issues Investor Alert on Duration Risk
Videotaping of Sales to Senior Investors
Yield Chasing in Complex Products will End Badly
A Fiduciary Standard for Brokers?
SEC and Finra 2012 Enforcement Year in Review
Finra Scales Back RIA Oversight Bid
International Structured Product Regulation Overview
Finra Focus on High Risk Municipal Bonds
Finra Requesting Comments on the 5 Percent Markup Rule
UBS Poised to Unilaterally Change Customers Risk Tolerances
Bill Gross Warns of a "Credit Supernova"
90% of UK Small Business Interest Rate Hedges were Unsuitable
The SEC is Holding a National Compliance Event for Broker-Dealers
IOSCO Issues Toothless Final Report on Suitability of Complex Products
Dodd-Frank Act Challenge Gets Crushed
The Derivatives Timebomb?
Finra Annual Regulatory and Exam Priorities Letter
IOSCO Report Seeks Comments on Libor Benchmarks
Finra Annual Conference May 20-22 | Washington, D.C.
Merrill Lynch Enters the Non-Traded REIT Market
Finra Focus Areas
Finra Requesting Comment on Recruitment Compensation Practices
New Predictive Analytics Book
Swap Exchanges Could Eat 30-50 Percent of Brokers Revenue
Finra Clarifies Suitability Rule 2111
$0.03 on the $1 No Longer Good Enough
Happy New Year!
Dodd-Frank Act Driving Compliance Hiring
Swapalypse Now
Happy Holidays!
A.O. Hirschman Dead at 97
SEC Report on Credit Ratings for Structured Finance Products
SEC Sweep Exams
Are Plaintiffs Winning the RMBS War?
UK Banks set aside 600M Pounds for Mis-sold Retail Swaps
Sutherland Issues Study of Enforcement Action Outcomes
MBIA v. Countrywide Summary Judgement Exhibits
ISDA Response to Dodd-Frank
Structured Products Dominate Hong Kong Non-Exchange Traded Issues
No Daubert Hearing is Enough to Vacate $10M Decision
Netflix gets Wells Notice from Facebook Post
Talent Analytics for Salesforce
Comparison of Finra Arbitration to Civil Litigation for Investment Advisors
Hedge Fund Variable Annuity Sub-Account Litigation
Predictive Analytics for Banking Conference
Nate Silver on Sports and Politics
New York City Bar CLE
New York State Court (Can't?) Won't Enforce Finra Arbitration Award
Brokers Switching firms May Have to Disclose Bonuses
Real-Time Big Data Could Be Next
Finra Warns on Stealth Streaming at Hearings
Raiding Cases Update
Big Data and Discovery Post-Rambus
DOJ and SEC Issue Guide to Foreign Corrupt Practices Act
Finra Incorporates Social Media in New Communications Rules
Finra Reflects on the SRO Model
Finra Statement to the Senate on Protecting Senior Investors
SEC Report on Examination of Ratings Agencies
Foreign Firms Face Half the Securities Litigations of Domestic Firms
High Yield Debt Stats Flashing Sell Signal
Shale Gas Bubble Evidence Continues to Grow
Master Limited Parternship Warning from Morningstar
Moody's Master Limited Partner Research
Nate Silver Called All 50 States...
Finra Guidance on Investment Advisor Arbitration
Rising Class Actions Against Chinese Companies
SEC Joins Finra in Hurricane Sandy Regulatory Relief
Finra Offers Regulatory Relief in Sandy Aftermath
Finra Business Continuity Compliance
The Ghost of Enron Past? or FERC Comes a Calling
Finra to Facilitate RIA Arbitrations
Finra EVP Susan Axelrod on Complex Products and Suitability
First Libor-Based Swap Case Filed in UK
The Bubble in Yield Plays Continues to Grow
Implications of the Dodd-Frank Act on Private Funds
Shale Gas Pain Continues
Master Limited Partnerships and REITS
PwC Open University
Finra Sanctions David Lerner Associates $12 million for Apple REIT Ten Sales
Finra Introduces Private Placement Filing Requirement
SEC Announces Over 1,500 Private Fund Advisors Register as Investment Advisors
Five Alabama Homeowners Sue Banks over Libor
Uh-Oh. Master Limited Partnerships Continue to Go Mainstream after 10 Years of Outperformance
Warning! Finra Arbitration Filings Down, S&P 500 Up
PwC Securities Litigation Study
Law Firm Economics
Libor Liability Estimate Update: $6 billion
SEC/Finra Battle for Regulation of RIAs is Heating Up
Finra's New Suitability Rule 2111 Living Links Visualization
Historical Background on Master Limited Partnerships
Philosophical Self-Reflection at the SEC
Quantum Computing is Almost Here (You only need 4 degrees kelvin and magnetic shielding)
RMBS Litigation... It's Back
Women Closing the Gap in Computer Science and STEM Studies/Jobs
Complex Products Speech by Finra Chairman and CEO Richard G. Ketchum
Data Scientists and the New Cool
CIA Archives on the Tradecraft of Analysis
Can Libor be Fixed?
Libor Litigation - Part Deux
Master Limited Partnership (MLP) Links
LIBOR Scandal Becomes New Profit Center for White Collar Law Firms
Predictive Analytics Coming to a College Near You (To Pick Your Classes for You)
LIBOR-Type Manipulation Possible in Many Global Indicies
SEC Orders Cease and Desist Proceedings Against Raymond J. Lucia Companies
Winston & Strawn have an RMBS "Rapid Response Team"
LIBOR-Based Swaps Estimated to be $250 Trillion
Predicting Sporting Events and Presidential Elections
Washington State Court Weighs in on MERS
The Need for Speed in Analytic Hardware
Reuters - New York Fed Knew about LIBOR Fixing in August 2007
CNBC Interview with Janet Cowell, NC State Treasurer, on LIBOR Swaps
FINRA Offers Some (Limited) Analytic Tools for Invstors
FINRA Large Arbitration Pilot Program
RMBS Litigation Update
Big Data on the Back 40
North Carolina State Treasurer Turning up the Heat on LIBOR Investigation
The Math of LIBOR Manipulation
Will Algos Replace Data Scientists?
LIBOR CFTC Settlement with Barclays
Top Five Cities for Big Data Talent (It's not who you think)
RMBS Litigation Update
Some Basics of Decision Management
Update to LIBOR Liability Estimates
The Shortage of Analytic Talent is Growing
The New York Observer Weighs in on the Fiduciary Battle Between RIAs and BDs
Law Firms Using Big Data to cut Legal Costs
Climate Corp. Combines Big Data, Predictive Analytics, and Insurance and Raises $50M
Big Data is Worth Nothing without Big Science
Big Oil Using Big Data and Predictive Analytics
EU Focusing on Data Protection
Lookout DeVry, The Ivy's are Getting into Online Education
Here's a Great List of Data/Statistics/Visual Links from FlowingData
The U.S. Government is getting in on Big Data
EMC Moves into Big Data
School for Quants at University College London
EMC White Paper "Data Science Revealed: A Data-Driven Glimpse into the Burgeoning New Field"
Wolfram | Alpha Pro: Taking Web Search into the Realm of the Scientific
The Age of Big Data
Data gets cool in Davos
U.S. Corporate Litigation
More Fulbright & Jaworski Litigation Trends - Financial Services Drilldown
Bloomberg hiring Data Visualization and Charting Business Manager
SEC Using Data Analysis to go After Fund Fraud
Big Data Startup Having Big Success
Christmas Book Gift Ideas
Litigation Trends
Science Visualizations Getting Better with eBooks and Wolfram's CDF
European Commission Sees $52 Billion Per Year Opportunity in Public Data
All posts
Subscribe to Email Updates
Recent Posts
Posts by Topic
litigation
(91)
investments
(83)
Compliance
(74)
FINRA
(71)
regulation.
(59)
SEC
(54)
Data Analysis
(48)
Complex Investments
(44)
securities litigation
(36)
Puerto Rico
(35)
municipal bond crisis
(34)
supervision
(34)
Securities Expert
(33)
UBS
(27)
Investment Advisors
(24)
Predictive Analytics
(24)
Complexity
(23)
Investment Complexity
(22)
Statistics
(22)
closed-end funds
(21)
Complex Investment Expert
(20)
fixed income
(19)
Senior Investors
(18)
suitability
(18)
Accelerant Arbitration Market Indicator
(17)
big data
(17)
Investment Suitability
(16)
education
(16)
LIBOR
(15)
Dodd-Frank Act
(14)
Structured Products
(14)
Suitability Expert
(14)
fraud
(14)
Complexity Risk
(12)
fiduciary obligations
(12)
Analytic Talent
(11)
FINRA Arbitration
(11)
Swaps
(11)
Elder Abuse
(10)
Jack Duval
(10)
Master Limited Partnerships
(10)
Protecting Senior Investors
(10)
Due Diligence
(9)
MLP
(9)
RMBS
(9)
Securities Exchange Commission
(9)
UBS closed-end funds
(9)
arbitration
(9)
dol fiduciary rule
(9)
erisa fiduciary expert
(9)
Alzheimer's
(8)
FINRA Suitability Rule 2111
(8)
Puerto Rico Municipal Bond Crisis
(8)
RIA
(8)
Regulation Best Interest
(8)
dementia
(8)
prudent expert standard
(8)
broker-dealer specialist system
(7)
reasonable basis suitability
(7)
risk
(7)
specialists suitability
(7)
Bloomberg
(6)
FINRA Rule 2111 (Suitability)
(6)
New York Times
(6)
analytics
(6)
complex products
(6)
Company Town
(5)
Dodd-Frank
(5)
Law Firm Analytics
(5)
Total Wealth Diversification
(5)
bubble
(5)
financial exploitation
(5)
hedge funds
(5)
high yield
(5)
natural gas
(5)
Automated Readability Index
(4)
Barclays
(4)
Contingent Convertible Bond
(4)
ETF
(4)
ILS
(4)
IOSCO
(4)
NYT
(4)
Reuters
(4)
Richard G. Ketchum
(4)
Rule 2111
(4)
insurance-linked securities
(4)
leverage
(4)
private equity
(4)
volatility-linked products
(4)
AAA
(3)
CDO
(3)
CEFs
(3)
Churning
(3)
CoCo
(3)
Customer-specific Suitability
(3)
Deutsche Bank
(3)
Harvard
(3)
Hurricane Sandy
(3)
Investment Policy Statement
(3)
JAMS
(3)
Litigation Trends Report
(3)
Margin
(3)
Master Limited Partnership
(3)
Nate Silver
(3)
REIT
(3)
S&P
(3)
The New York Times
(3)
Third Avenue Focused Credit Fund
(3)
broker dealer
(3)
class action
(3)
complex
(3)
debt
(3)
disclosure
(3)
distressed debt
(3)
hedge fund
(3)
hold recommendations
(3)
links
(3)
municipal bonds
(3)
shale gas
(3)
Accelerant
(2)
Accelerant Products
(2)
Apple REIT 10
(2)
Books
(2)
CEF
(2)
CNBC
(2)
Chesapeake Energy
(2)
China
(2)
Closed-end municipal bond funds
(2)
DPP
(2)
Daniel M. Gallagher
(2)
David Lerner Associates
(2)
EMC
(2)
EU
(2)
Fact Specific Analysis
(2)
Forbes
(2)
Fullbright & Jaworski
(2)
Goldman Sachs
(2)
HSBC
(2)
IPO
(2)
Investment Advisor
(2)
InvestmentNews
(2)
Janet Cowell
(2)
John Duval Sr.
(2)
Leveraged and Inverse ETF
(2)
MIT Technology Review
(2)
NCUA
(2)
NRSRO
(2)
Portfolio Margin
(2)
PwC
(2)
Quantitative Suitability
(2)
S&P 500
(2)
SEC Regulation Best Interest
(2)
SIFMA
(2)
SRO
(2)
Schema Theory
(2)
Senior Loans
(2)
Student Loan Bubble
(2)
Susan Axelrod
(2)
Thompson Reuters
(2)
Wolfram
(2)
benchmarks
(2)
bonds
(2)
data scientists
(2)
eDiscovery
(2)
economics
(2)
enforcement
(2)
fiduciary duties
(2)
fiduciary standard
(2)
finance
(2)
fixed income experts
(2)
high frequency trading
(2)
insurance
(2)
investment recommendation
(2)
junk bonds
(2)
law firms
(2)
municipal bond expert
(2)
private equity fund
(2)
private placements
(2)
ratings agencies
(2)
registered representative
(2)
risk tolerance
(2)
securities
(2)
shale oil
(2)
social media
(2)
unfunded pension
(2)
valuation
(2)
video
(2)
white paper
(2)
yield bubble
(2)
yield chasing
(2)
'40 Act; Suitability; Supervision; Compliance
(1)
2111
(1)
2210
(1)
2212-16
(1)
2nd Circuit
(1)
538
(1)
60/40 mix
(1)
9th circuit
(1)
A.O. Hirschman
(1)
AMJ
(1)
AMLP
(1)
AWC
(1)
Accel Partners
(1)
Adam Smith Esq.
(1)
AdvisorOne
(1)
Alabama
(1)
Alerian
(1)
Alix Bailin
(1)
All Analytics
(1)
Annual Meeting
(1)
Annual Reports
(1)
Arbitrator Analyzer
(1)
Ari Weinberg
(1)
Arthur Berman
(1)
Asset Allocation
(1)
Azam Ahmed
(1)
BBC
(1)
Bail-in
(1)
Banco Popular
(1)
Bantam Inc.
(1)
Barry Ritholtz
(1)
Best Interest five elements
(1)
Big Oil
(1)
Bill Gross
(1)
Bill Singer
(1)
Bond Buyer
(1)
Brad Bennett
(1)
Briefcase
(1)
Bruce Kelly
(1)
Bruce Macewen
(1)
C
(1)
C Share
(1)
CAIS
(1)
CDS
(1)
CIA
(1)
CIOInsight
(1)
CISA
(1)
CISO
(1)
CLE
(1)
CNET
(1)
CPE Credit
(1)
CTFC
(1)
CalPERS
(1)
Center for Digital Education
(1)
Central Banks
(1)
Christmas
(1)
Cities
(1)
Citigroup
(1)
Climate Corp.
(1)
Communications Rules
(1)
Computable Document Format
(1)
Conflicts of Interest
(1)
Countrywide
(1)
Coursera
(1)
CreditMatters
(1)
D-Wave
(1)
DLA
(1)
DOJ
(1)
DSNews
(1)
Darrell Preston
(1)
Data Collective
(1)
Daubert
(1)
David Lerner
(1)
Davos
(1)
Decision Management
(1)
Derivative Partners
(1)
Doug Engmann
(1)
ESPN
(1)
ETN
(1)
EUPD
(1)
Eagleford
(1)
Eastern District
(1)
Elections
(1)
Energy Policy Forum
(1)
Enron
(1)
Eric Siegel
(1)
Ernst & Young
(1)
Event Study
(1)
Exchange Data International
(1)
Ezra Zask
(1)
FCA
(1)
FERC
(1)
FFELP
(1)
FHFA
(1)
FINRA RN 19-26
(1)
FINRA Regulation
(1)
FINRA Rule 2111
(1)
FINRA Rules
(1)
FSA
(1)
FT
(1)
Facebook
(1)
Farmeron
(1)
Fenwick & West LLP
(1)
Fiduciary
(1)
Florida
(1)
FlowingData
(1)
Floyd Norris
(1)
Football
(1)
Form PF
(1)
Froriep Renggli
(1)
Fulbright and Jaworski
(1)
GDB
(1)
GDP
(1)
GS
(1)
Gerri Walsh
(1)
Gigaom
(1)
Guardian
(1)
Guardian Care Homes
(1)
HBS
(1)
HR
(1)
HTA
(1)
Harvard Business Review
(1)
Harvard Business School
(1)
Henry Raschen
(1)
Homeward Residential
(1)
Hong Kong
(1)
Hyman Minsky
(1)
ICLG
(1)
IE
(1)
IRR
(1)
ISDA
(1)
Illiquid Investments
(1)
Illustion of Liquidity
(1)
InsideCounsel
(1)
Insight Data Science Program
(1)
International Financial Law Review
(1)
Investment Program Association
(1)
JP Morgan
(1)
JPM
(1)
James H. Frank
(1)
James Turley
(1)
Japan
(1)
Jeff Hawkins
(1)
Jefferies Group
(1)
Jobs Act
(1)
Joe Kennedy
(1)
Jonathan S. Sokobin
(1)
Jones Lang LaSalle
(1)
Joshua Gallu
(1)
Journal of Finance
(1)
Judge Rakoff
(1)
Justice Department
(1)
KPIs
(1)
Keynes
(1)
Kinder Morgan
(1)
LBO
(1)
Latham & Watkins
(1)
Lehman Brothers SIPA Claims
(1)
Lehman Brothers Unsecured Debt
(1)
Len Santoro
(1)
Letter
(1)
Level 3 Assets
(1)
Leveraged and Inverse
(1)
Linda Feinberg
(1)
Liquid Alternatives
(1)
Liquidity
(1)
Living Links
(1)
Lost Gains Cases
(1)
Lowenstein Sandler
(1)
Lucidus Capital Partners
(1)
MBIA
(1)
MERS
(1)
MIT
(1)
Managed distributions
(1)
Margin Sales
(1)
Margin leverage
(1)
Market Efficiency
(1)
Market Structure Risk
(1)
MarketWatch
(1)
Martin Wheatley
(1)
Mary Mack
(1)
Mathematica
(1)
Matrix Chambers
(1)
McKinsey
(1)
McKinsey Global Institute
(1)
Melanie Waddell
(1)
Merrill Lynch
(1)
Money Market Funds
(1)
Moody's
(1)
Morgan Lewis
(1)
Morgan Stanley
(1)
Morningstar
(1)
Morrison
(1)
NEPC
(1)
NERA
(1)
NTM
(1)
NTM 04-89
(1)
NTM 05-59
(1)
NTM 07-43
(1)
NTM 10-22
(1)
NTM 12-40
(1)
NTM 12-45
(1)
NTM 12-55
(1)
NTM 13-07
(1)
NYC Bar
(1)
NYU
(1)
Nathaniel Popper
(1)
Netflix
(1)
New York Attorney General
(1)
New York City
(1)
New York Fed
(1)
New York Federal Reserve
(1)
New York Law Journal
(1)
New York State
(1)
Noreen Seebacher
(1)
North Carolina
(1)
OCIE
(1)
Oil and Gas
(1)
Oilprice.com
(1)
Open Data Strategy
(1)
Open University
(1)
Oppenheimer
(1)
P/E Ratio
(1)
PIK bonds
(1)
PIMCO
(1)
PREPA
(1)
Paradigm4
(1)
Penn
(1)
Pension Loans
(1)
Pension Management
(1)
Peyton Manning
(1)
PhD
(1)
Pilot Program
(1)
Pivotal Labs
(1)
Post Carbon Institute
(1)
Practice Note
(1)
Princeton
(1)
Private Fund Reporting Depository
(1)
Private Funds
(1)
ProShares
(1)
Products
(1)
Prospectus Delivery
(1)
Puerto Rico Municipal Bond Capital Structure
(1)
Puerto Rico municipal bonds
(1)
Quantitative Investment Analysis
(1)
RMBS Working Group
(1)
RN 13-31
(1)
Rambus
(1)
Rank and Strike List
(1)
Rapid Response Team
(1)
Raygor Estimate
(1)
Raymond J. Lucia
(1)
Reasonable
(1)
Reasonable Care
(1)
Reed Hastings
(1)
Regulation FD
(1)
Restructuring
(1)
Reverse Convertible
(1)
Richard Doty
(1)
Riskology
(1)
Robb Adkins
(1)
Rule
(1)
Rule 2090
(1)
Rule 2510
(1)
SEC Rule 434
(1)
STEM
(1)
STRATS
(1)
Sand Canyon
(1)
Santander
(1)
Schrodinger's cat
(1)
Second Circuit
(1)
SecondMarket
(1)
Section 15(c)(2)
(1)
Section 2(a)(10)
(1)
Section 939F
(1)
Securities Expert Roundtable
(1)
Securities Litigation Study
(1)
Securities Litigation Uniform Standards Act
(1)
Securities Litigation and Enforcement Institute
(1)
Securities and Futures Commission
(1)
Senate
(1)
Silicon Valley
(1)
Skynet
(1)
Soberlook
(1)
Speculative and Aggressive Investments
(1)
Splunk
(1)
Sports Illustrated
(1)
Sr.
(1)
St. Louis Fed
(1)
Stanford
(1)
Startup
(1)
Stein's Law
(1)
Steve Lohr
(1)
Steve Pomerantz
(1)
Stone Lion Capital Partners
(1)
Structured Finance Litigation Blog
(1)
Super Nova
(1)
Surface
(1)
Sutherland
(1)
Swap Financial Group
(1)
Switzerland
(1)
Tableau
(1)
Taft-Hartley
(1)
Talent Analytics
(1)
Tamar Frankel
(1)
Taschen
(1)
Telegraph
(1)
The Metropolitan Corporate Counsel
(1)
The New York Observer
(1)
Thomas M. Selman
(1)
Tom Brakke
(1)
Tom Davenport
(1)
Tom Simonite
(1)
Tracking Error
(1)
Twitter
(1)
U.S. Foreign Corrupt Practices Act
(1)
U.S. Government
(1)
UCL
(1)
UK
(1)
UMich
(1)
Utica Shale
(1)
Variable Universal Life
(1)
VelocityShares Inverse Short Term ETN
(1)
VoltDB
(1)
WSJ
(1)
Washington State
(1)
Wells Fargo
(1)
Wells Notice
(1)
Wendell Belden
(1)
Winston & Strawn
(1)
Wolfram|Alpha Pro
(1)
Women 2.0
(1)
World Economic Forum
(1)
XIV
(1)
Zach Bogue
(1)
Zero Hedge
(1)
active share
(1)
administration
(1)
alternative fees
(1)
analysis
(1)
anti-fraud
(1)
apocalypse
(1)
backtested
(1)
banking
(1)
bankruptcy
(1)
banks
(1)
big science
(1)
bonus
(1)
book
(1)
browser
(1)
burden of proof
(1)
business continuity plans
(1)
business development companies
(1)
call to action
(1)
chasing yield
(1)
chief economist
(1)
civil litigation
(1)
class actions
(1)
clearinghouse
(1)
client
(1)
closed-end bond funds
(1)
collateral
(1)
collateralized loan obligations
(1)
commissions
(1)
compensation
(1)
continuing education
(1)
cost-benefit analysis
(1)
cost/equity ratio
(1)
credit unions
(1)
crop
(1)
crowdsourcing
(1)
damages
(1)
data analytics
(1)
data protection
(1)
data science
(1)
data visualization
(1)
de-smoothed returns
(1)
default
(1)
derivatives
(1)
deterministic
(1)
discovery
(1)
discretion
(1)
drilling
(1)
duration
(1)
e-discovery
(1)
eBooks
(1)
early IRA withdrawals
(1)
economic activity index
(1)
economists
(1)
edX
(1)
energy markets
(1)
enforcement actions
(1)
equity
(1)
examination
(1)
exchanges
(1)
exhibits
(1)
expert opinion
(1)
expert testimony
(1)
fair dealing
(1)
farmers
(1)
farming
(1)
fiduciary expert
(1)
filing trends
(1)
filings
(1)
financial innovation
(1)
financial services
(1)
fixed fee arrangements
(1)
foreclose
(1)
hardware
(1)
hourly rate
(1)
hypothetical
(1)
iPad
(1)
iShares
(1)
index funds
(1)
informed consent
(1)
initial margin
(1)
interactive
(1)
interest rates
(1)
interest reates
(1)
investment strategies
(1)
investor tools
(1)
jobs
(1)
large abritration
(1)
legal services
(1)
leverage-adjusted returns
(1)
leveraged loans
(1)
limited partnerships
(1)
market manipulation
(1)
markups
(1)
mortgage
(1)
msrb
(1)
municipal bond insurance
(1)
municipal debt crisis
(1)
mutual fund
(1)
mutual funds
(1)
negative roll yield
(1)
non-traded
(1)
non-traded REIT
(1)
online education
(1)
opt-out
(1)
optimization
(1)
politics
(1)
portfolio margining
(1)
presidential election
(1)
primer
(1)
private advisers
(1)
private placement
(1)
product;
(1)
punctuated equilibria
(1)
quants
(1)
raiding
(1)
real-time
(1)
reasonable compensation
(1)
rebalancing; investments; FINRA
(1)
recruiting
(1)
regulation Rule 4370
(1)
report
(1)
research
(1)
retail
(1)
returns
(1)
reverse mortgages
(1)
rules
(1)
sales practice
(1)
scams
(1)
scandal
(1)
science
(1)
self-regulation
(1)
selling agreement
(1)
settlement
(1)
siliconAngle
(1)
specialists
(1)
speech
(1)
sports
(1)
standing
(1)
streaming
(1)
sub-accounts
(1)
sub-prime
(1)
sustainable withdrawal rates
(1)
tables
(1)
talent
(1)
tradecraft
(1)
trillion
(1)
turnover ratio
(1)
value-at-risk
(1)
variable annuities
(1)
variable annuity expert
(1)
variable annuity litigation
(1)
variable annuity taxation
(1)
venture capital
(1)
videotaping
(1)
visualization
(1)
wirehouse
(1)
women
(1)
zombie apocalypse
(1)
see all
