The Securities Litigation Expert Blog

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

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