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Peter E. Cooper
Mitchell B. Goldberg
Kent Lawrence
John S. Monical
Charles J. Risch
John D. Ruark
Paul B. Uhlenhop
Michael Wise |
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| 7/7/2007 |
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FINRA Substantially Revises Customer Arbitration Rules, NSCP Currents, July/August 2007 |
| 10/6/2006 |
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Securities Mediation: An Alternative Path to Claims Resolution, National Regulatory Services 2006 Compliance Conference |
| 4/30/2001 |
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Broker-Dealer Customer and Recruiting Disputes, Glasser LegalWorks, Broker Dealer Litigation |
| 11/1/1999 |
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When is an FCM, CTA or Pool a Securities Broker-Dealer, an Investment Adviser or an Investment Company Under the Securities Laws? , Futures & Derivatives Law Report |
| 9/1/1998 |
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State and Federal Court Litigation Involving Futures and Derivatives, 8 Securities News, No. 2 |
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| 5/2009 |
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Outside Business Activity (Part 3 of 3), NSCP Currents,
March/April 2009 |
| 3/2009 |
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Outside Business Activity (Part 2 of 3), NSCP Currents, January/February 2009 |
| 1/1/2009 |
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Outside Business Activity (Part 1 of 3), NSCP Currents, November/December 2008 |
| 10/21/2008 |
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National Society of Compliance Professionals, National Membership Meeting. Philadelphia, Pennsylvania. |
| 5/1/2006 |
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Mediation of Securities Disputes: Views from the Advocate and the Mediator, American Bar Association, Section of Litigation, Securities Litigation Committee |
| 9/1/2003 |
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Document Retention Requirements of the CPSC/NHTA and Their Discovery Protections, Defense Research Institute Product Liability Conference, Juvenile Products Breakout Session |
| 2/1/2001 |
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"The Post-Sale Duty to Warn and Recall: Are They Preempted When NHTSA or the CPSC Oversees the Manufacturer's Conduct?", Defense Research Institute Products Liability Conference, Juvenile Products Breakout Session |
| 2/1/2000 |
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"State Child Product Safety Acts-The Good News and the Bad", Defense Research Institute Product Liability Conference, Juvenile Products Breakout Session |
| 1/1/1996 |
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Computer Litigation Support Systems, Chapter 6, Business Litigation Handbook, Illinois Institute for Continuing Legal Education |
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| 12/1/2004 |
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Who is a Proprietary Trader 2004?, Futures & Derivatives Law Report |
| 4/1/2003 |
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Security Futures Two Years After the CFMA: An Assessment, Futures & Derivatives Law Report, Vol 23, No. 2 |
| 5/24/2001 |
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Supervision of Branch Offices, OSJ's and Offsite Brokers and Independent Contractors, National Regulatory Services Branch Office Compliance Practice Conference |
| 11/8/2000 |
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Who is a Proprietary Trader? A Changing and Rocky Landscape. Futures & Derivatives Law Report, Vol 20, No. 8 |
| 8/1/2000 |
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Regulation of Electronic Communication, Execution and Delivery of Documents to Customers of Broker-Dealers, NSCP Currents |
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| 5/2009 |
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Outside Business Activity (Part 3 of 3), NSCP Currents,
March/April 2009 |
| 3/2009 |
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Outside Business Activity (Part 2 of 3), NSCP Currents, January/February 2009 |
| 1/1/2009 |
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Outside Business Activity (Part 1 of 3), NSCP Currents, November/December 2008 |
| 10/21/2008 |
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National Society of Compliance Professionals, National Membership Meeting. Philadelphia, Pennsylvania. |
| 4/1/2008 |
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FINRA Proposes Guidance with Respect to International Prime Brokerage Transactions Effecting United States Executing Brokers, Prime Brokers and Custodians, Practical Compliance & Risk Management For the Securities Industry, Mar/Apr 2008 |
| 1/1/2007 |
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Thoughtful Analysis - Key to Successful Compliance a Primer for New Compliance Officers, NSCP Currents, Jan/Feb 2007 |
| 10/1/2006 |
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Clearing Arrangements for Introducing Firms - Who's Responsible?, NSCP National Membership Meeting, Fall 2006 |
| 5/1/2006 |
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Bankruptcy Judge Preliminarily Holds REFCO's Unregulated Unit to be a "Stockbroker" for Purposes of the Bankruptcy Code, Futures Industry Association - Law & Compliance Division Workshop Portfolio Margining Issues |
| 3/1/2006 |
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Uniform Definition of Branch Office Explained and Clarified in New FINRA and NYSE Releases, NSCP Currents, March/April 2006 |
| 8/1/2005 |
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Critical Elements of an Effective Supervisory Structure, Securities & Commodities Regulation, Vol. 38, No. 14, Aug. 2005 |
| 6/1/2005 |
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When is an Unregulated Derivatives Dealer Considered to be a "Stockbroker" for Purposes of the Bankruptcy Code?, Thomson/West Legalworks |
| 5/1/2005 |
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Impact on Broker-Dealers From the New SEC Rule Narrowing the Exemption for Broker-Dealers From the Investment Advisers Act, NSCP Currents, May/June 2005 |
| 5/1/2005 |
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Key Points for Introducing Broker-Dealers to Understand in Connection With Clearing Arrangements, NRS Fall Compliance Conference - NSCP Currents, May/June 2005 |
| 12/1/2004 |
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Who is a Proprietary Trader 2004?, Futures & Derivatives Law Report |
| 10/1/2004 |
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Broker-Dealer Supervision of Branch and Remote Offices, National Regulatory Services Fall Compliance Conference Oct. 2004 |
| 8/1/2004 |
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A Trap for the Unwary Attorney SEC Rule 13b2-2: Improper Influence on Conduct of Audits, American Bar Association, Section of Litigation, Securities Litigation Committee, Securities Litigation, Vol. 15, No. 1, Fall 2004 |
| 11/1/2003 |
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Amendments to SEC Custody Rule 206(4)-2 Will Affect All Investment Advisers, NSCP Currents, Nov/Dec. 2003 |
| 10/1/2003 |
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Personal Trading Policies and Procedures Including Insider Trading Rules, National Society of Compliance Professionals - National Membership Meeting, Fall 2003 |
| 10/1/2003 |
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Broker-Dealer Supervision and Surveillance, eMind, Oct. 2003 |
| 6/1/2003 |
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Research Analyst Conflicts, National Society of Compliance Professionals - 2003 Midwest Regional Meeting |
| 5/1/2003 |
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Broker-Dealer Compliance I, Futures Industry Association - Law & Compliance Division 25th Annual Workshop |
| 4/1/2003 |
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Post-Enron Corporate Responsibility and Related Reforms: Part I - Outline of Sarbanes-Oxley Act of 2002: Impact on Broker-Dealers and Investment Advisors; Part II - Outline Guide to the Sarbanes-Oxley Act of 2002, National Regulatory Services Spring Compliance/Risk Management Conference |
| 4/1/2003 |
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Security Futures Two Years After the CFMA: An Assessment, Futures & Derivatives Law Report, Vol 23, No. 2 |
| 2/1/2003 |
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SEC Proposed Rule 13b2-2: Improper Influence on Conduct on Audits, American Bar Association Regulation of Futures and Derivatives Instruments Committee Meeting |
| 9/1/2002 |
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Conflicts Regarding Research Recommendations, National Regulatory Services Fall Compliance Conference Sept. 2002 |
| 8/16/2002 |
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The Sarbanes-Oxley Act of 2002 Impact on Broker-Dealers, NSCP Currents |
| 8/1/2002 |
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A Pool Too Big for a FCM or a Broker-Dealer, Futures & Derivatives Law Report, Vol. 22, No. 5 |
| 6/2/2002 |
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Anti-Money Laundering Provisions for Broker-Dealers, The Review of Securities and Commodities Regulation, Vol. 35, No. 11 |
| 6/2/2002 |
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Investment Adviser Conflicts, NSCP Midwest Regional Meeting |
| 6/2/2002 |
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General Session: Dialogue with Area Regulators, including Asset-Based Brokerage and Unhbundled Brokerage Fees, Securities Futures - A New Frontier and Anti-Money Laundering Provisions for Broker-Dealers, National Society of Compliance Professionals Midwest Regional Meeting |
| 5/1/2002 |
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Security Futures-A New Frontier, The Review of Securities and Commodities Regulation, Vol. 35, No. 10 |
| 10/17/2001 |
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Advanced Concepts of Broker-Dealer Compliance, National Society of Compliance Professionals 2001 National Membership Meeting |
| 10/1/2001 |
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Capital, Customer Funds and Margin After the Commodity Futures Modernization Act of 2000, Futures & Derivatives Law Report, Vol. 21, No. 7 |
| 9/1/2001 |
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Managing Regulatory Investigations and Examinations for Cause, National Regulatory Service Fall Compliance Conference |
| 6/5/2001 |
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Regulatory Examinations for Cause, National Society of Compliance Professionals Midwest Regional Meeting |
| 5/24/2001 |
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Supervision of Branch Offices, OSJ's and Offsite Brokers and Independent Contractors, National Regulatory Services Branch Office Compliance Practice Conference |
| 4/30/2001 |
|
Broker-Dealer Customer and Recruiting Disputes, Glasser LegalWorks, Broker Dealer Litigation |
| 1/1/2001 |
|
Securities Law, Chapter 6-Regulation of Broker-Dealers, IICLE |
| 11/8/2000 |
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Who is a Proprietary Trader? A Changing and Rocky Landscape. Futures & Derivatives Law Report, Vol 20, No. 8 |
| 9/1/2000 |
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Securities Sites and Online Trading Become Regulatory Priorities, Journal of Taxation of Investments |
| 8/1/2000 |
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Regulation of Electronic Communication, Execution and Delivery of Documents to Customers of Broker-Dealers, NSCP Currents |
| 7/1/2000 |
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Regulation of Electronic Communication, Execution and Delivery of Documents to Customers of FCM/Bds, American Bar Association Annual Meeting, International Law Section Panel on Securities Transactions and Securities Markets in the Age of Cyberspace |
| 3/1/2000 |
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When Broker-Dealer Activities Require Investment Adviser Registration: SEC Grants Interim Relief and Proposes Changes, NSCP Currents |
| 12/1/1999 |
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CFTC Recommendations Regarding the NFA's Arbitration Program, Broker-Dealer Dispute Report |
| 11/1/1999 |
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When is an FCM, CTA or Pool a Securities Broker-Dealer, an Investment Adviser or an Investment Company Under the Securities Laws? , Futures & Derivatives Law Report |
| 1/1/1999 |
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CFTC & SEC Capital Rules for Over-The-Counter Forwards, Spot and Options Transactions, Futures & Derivatives Law Report |
| 1/1/1999 |
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Investment Advisor Growing Pains, NSCP Currents, Nov/Dec. 1998 (Part I), Jan/Feb. 1999 (Part II) |
| 9/1/1998 |
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State and Federal Court Litigation Involving Futures and Derivatives, 8 Securities News, No. 2 |
| 7/1/1998 |
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Checklist for Investment Advisor Agreements, NSCP Currents |
| 7/1/1998 |
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Securities Law, Chpt. 16, Special Problems of Insiders, Chpt. 10, Overview of Regulation of the Securities Business, IICLE |
| 11/1/1997 |
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An Appeal for Harmonization of the Financial Responsibility Rules of the SEC and the CFTC, 20th Annual Commodities Law Institute |
| 10/1/1997 |
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Soft Dollars Disclosures, Agreements, Record-Keeping and Compliance, National Society of Compliance Professionals Annual Meeting |
| 8/1/1997 |
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FCM Documentation for Exchange Traded Futures Contracts & Options, American Bar Association Annual Meeting |
| 6/1/1997 |
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SEC Order Execution Rules & Best Execution Responsibilities of Broker-Dealer Initiating Customer Orders, National Society of Compliance Professionals Midwest Regional Meeting |
| 12/1/1996 |
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FCM's: Guarantors of Customers' Funds?, Futures & Derivatives law Report, Report 10, p. 1 |
| 10/1/1996 |
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What Every Compliance Professional Should Know About Derivatives, National Society of Compliance Professionals Annual Meeting |
| 9/1/1996 |
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Swaps are Nothing But Contracts…Right Now, Securities News |
| 6/1/1996 |
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Investment Adviser Employee and Proprietary Trading Policies and Surveillance, National Society of Compliance Professionals Midwest Regional Meeting |
| 1991 |
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What Every Securities Litigator Should Know About Commodities Litigation, ALI ABA |
| 1984 |
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"Jury Instructions" and "Enforcement of Discovery", Chapters of Matthew Bender's Federal Litigation Guide,1984. |
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