Ford O'Brien, LLP

July 2018 Archives

Secondary Liability: Is "Just Doing My Job" a Valid Defense?

The U.S. Supreme Court recently agreed to hear an appeal stemming from an investment banker who was found liable for fraud. There are numerous cases each year, but this case stands out due to its peculiar circumstances. The banker was found liable due to the practice of copying and pasting his boss's fraudulent emails into client-facing messages (Source: Law360, June 20, 2018). 

What Does SCOTUS Ruling on SEC Appointments Mean For You?

Late last month the Supreme Court of the United States issued a highly anticipated ruling in a case that could have lasting ramifications for investors and financial institutions. In the case of Lucia v. SEC, the court ruled that the Securities and Exchange Commission's (SEC) appointments of Administrative Law Judges were unconstitutional. 

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