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The Securities Litigation and Regulatory Enforcement resource Web site provides legal news, trends, and insights into navigating the complexities of the Securities Exchange Commission (SEC), U.S. Department of Justice (DOJ), Financial Industry Regulatory Authority (FINRA), Texas State Securities Board, and other state securities regulators. This is a go-to resource for broker dealers (BDs), investment advisers (IAs), general counsels (GCs) and directors and officers (D&Os) throughout Texas and across the nation. Learn more

Our Team

Ron Swanson_milk_770x330_

Broker Dealer, General Counsel & D&O, Investment Adviser

Don’t Cry (or Lie) Over Skim Milk: SEC Charges Ron Swanson with Securities Fraud

Ron Swanson once stated, “There’s only one thing I hate worse than lying—skim milk, which is water that’s lying about being skim milk.”

Today the SEC announced that it has…

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Business people discussion working concept

Broker Dealer, General Counsel & D&O, Investment Adviser

What a Business Should Know Before Triggering a MAC Clause Based on COVID-19

By Andrew Schumacher, Brad Monk and John Kincade

The COVID-19 pandemic has caused a sudden disruption to businesses and halted almost all forms of global commerce. Contractual parties, lenders…

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Broker Dealer, General Counsel & D&O, Investment Adviser, Uncategorized

Fraud in the Time of Covid-19

By Toby M. Galloway, Matthias Kleinsasser, Joe Wielebinski

In sports, it is often said that “winning cures everything.” The same concept applies to uncovering fraud. When the economy is…

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