Isobel Markham

August 23, 2014 | The American Lawyer

New Jersey has revoked the broker-dealer agent and investment adviser registrations of Philadelphia man Jeffrey Dean Shrader over securities law violations related to an alleged Ponzi scheme.

By Isobel Markham

3 minute read

August 23, 2014 | The American Lawyer

Douglas Swenson, former president of failed property management company DBSI, faces 20 years in federal prison. The company's former general counsel, Mark Ellison, faces a sentence of up to five years.

By Isobel Markham

3 minute read

August 23, 2014 | The American Lawyer

Idaho's Department of Finance charges that Tony Sellers broke state securities laws by selling unregistered charitable annuities without a license.

By Isobel Markham

2 minute read

August 20, 2014 | The American Lawyer

The agency contends that the brokerage firm failed to adequately supervise its customers, allowing manipulative trading to take place.

By Isobel Markham

2 minute read

August 20, 2014 | The American Lawyer

The agency asserts that Eastern Bank's Patrick O'Neill tipped off a fellow country club member about the bank's then-pending acquisition of Wainwright Bank & Trust.

By Isobel Markham

3 minute read

August 20, 2014 | The American Lawyer

In July the SEC adopted new rules to curb runs on money market funds. But will they have the opposite effect?

By Isobel Markham

2 minute read

August 18, 2014 | The American Lawyer

Christ Church Cathedral, endowed by the family of Eli Lilly, says the bank chose unsuitable investments and engaged in self-dealing.

By Isobel Markham

2 minute read

August 18, 2014 | The American Lawyer

The agency accuses the broker of adding more than $18 million in hidden markups and markdowns to trades.

By Isobel Markham

2 minute read

August 18, 2014 | The American Lawyer

The former mayor of Progreso, Texas, was among those convicted of bribery in the awarding of federal grants.

By Isobel Markham

3 minute read

August 15, 2014 | The American Lawyer

The rule makes it easier for investment advisers who are also registered as brokers to sell from their firms' proprietary accounts.

By Isobel Markham

3 minute read