New Title IX Regulations: A Seismic Shift During a Pandemic (Webinar Recording)
No, I am not referring to the Britney Spears song. Instead, it’s fake case cites, a judge’s admonition, sanctions and impending discipline. Today’s lesson comes from U.S. District Court Judge Kelly Rankin in the District of...more
Last week, the Maryland Supreme Court suspended Maryland District Court Judge Jennifer Etheridge for 20 days for violations of the Maryland Code of Judicial Conduct. The charges, Etheridge’s response, and the order from the...more
Despite clear judicial warnings and sanctions, legal professionals continue to submit AI-generated court documents with fabricated content. This disturbing trend, exemplified by cases like Mata v. Avianca, threatens the...more
The number of lawyers sanctioned for citing fake cases or quotes created by Generative Artificial Intelligence tools continues to grow. Earlier this summer, U.S. District Judge Thomas Cullen ordered counsel to show cause as...more
Potential Board Sanctions Against Licensees - In this article, we explain the different actions that boards can take against licensees. The board may take the following actions once its investigation concludes:...more
If you are a regular reader of this blog, you know that one of my pet peeves with FINRA is its unrelenting zeal to bar people, permanently, from the securities industry. Seemingly without much regard for the actual conduct at...more
It often is said that “it’s not the crime, but the cover-up” that is the most damaging to someone alleged to have committed misconduct. In a recent FINRA enforcement action, however, the cover-up was the crime. On July 3,...more
Earlier this month, FINRA announced changes to its Sanction Guidelines through Notice to Members 17-13. FINRA’s Sanction Guidelines are used by FINRA disciplinary hearing panels to decide what, if any, sanctions to impose in...more
That loud whirring you heard earlier this week? It was the sound of Ontario’s 50,000 (or so) lawyers collectively printing the 169-page, 445-paragraph decision in Groia v The Law Society of Upper Canada. The case has been...more
FINRA’s newly revised Sanction Guidelines, effective immediately, signal that the upward trend in sanctions against broker-dealers is likely to continue. The Sanction Guidelines, which establish the range of sanctions...more