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  • Blog: Broker-Dealer Law CornerWhat Else Is New? FINRA Skates Despite “Massive” Failure To Produce DocumentsPosted on June 23, 2017 by Alan Wolper
    Let’s play pretend.  Can you imagine what FINRA would do to a respondent broker-dealer in an Enforcement action that announced on Day Five of the hearing – i.e., during the “final phase” of the hearing – that – whoops! – it had forgotten to produce certain documents that it should have produced eight months before...… Continue Reading
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  • Blog: Data Security Law Blog11th Circuit Hears Oral Argument in LabMD CasePosted on June 22, 2017 by
    Yesterday morning, the United States Court of Appeals for the Eleventh Circuit, sitting in Miami, heard oral argument in the case of LabMD, Inc. v. Federal Trade Commission, No. 16-16270.  For purposes of this post, we presume readers are familiar with this case, which we’ve blogged about extensively since the Federal Trade Commission lodged an [...]
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