Analysis

Analysis

Martha Stewart Indictment

Martha Stewart did not go to jail for insider trading. In fact, based on what I know of the facts of the case, I probably could have gotten her off on those charges. No, she was sent to jail for lying to federal investigators. Specifically, for Conspiracy to Obstruct Justice, […]

Analysis Arbitration

Arbitrator Code of Ethics Revamped

ABA and AAA Task Force Provide Working Draft of New Ethics Code This four-year effort by a joint task force of the American Bar Association and the American Arbitration Association has now produced a working draft that will cover both domestic and international arbitrations. According to an article on ADRWorld.com […]

Analysis News

Investment Advisers Act of 1940

The Investment Adviser Act of 1940 is the statute which provides the regulations for the registration and oversight of individuals and corporations who are not brokers or dealers, but who provide investment advice to the public. Need more information? The Investment Advisers Act of 1940 Rules and Regulations under the […]

Analysis

Employment exclusion reviewed

Supreme Court and Arbitration SUPREME COURT & ARBITRATION: The U.S. Supreme Court heard argument in the Circuit City v. Adams case on Monday, concerning Section 1’s “contract of employment” exclusion. The Ninth Circuit gave a broad reading to the exclusionary provision in the decision below, holding that virtually all employment […]