Occasionally, in the event a case requires litigation, legal counsel may request the assistance of one or more expert witnesses. As specialists in their field, these experts can provide advanced knowledge, skill, experience, training and/or education that can assist…
On July 12, 2016, after undergoing an investigation by the Securities and Exchange Commission (SEC) regarding a computer coding error that caused Citigroup Global Markets to provide the agency with incomplete “blue sheet” information about trades it executed from…
When you receive an “8210 letter” from FINRA, your whole world can change. FINRA does not have subpoena power; rather, their investigative power comes from FINRA Rule 8210. But, that rule is very powerful when it comes to member…
In the season finale the Chuck Rhoades, Wendy Rhoades, and Bobby Axelrod triangle fallout continues and leads to some major confrontations which could have been avoided had the rules been complied with. Spoilers Ahead…
This week’s episode focused a lot on personal lives and how they can impact professional lives. In one particular scenario, the ethical considerations of confidential information that can result from it are explored. Spoilers Ahead…
Episode 10 leads up to a tough scenario for Axe as Principal of Axe Capital in the wake of his current personal and professional dramas. Spoilers Ahead…
In this episode, the ethical aspects of Axe’s capital raising tactics and trading antics really come into focus. Spoilers Ahead…
In this week’s episode, Bryan Connerty, who is now serving as lead counsel for the US Attorney’s Office case against Axe Capital, faces some tough choices leading to an ethical dilemma. Spoilers Ahead…
Episode 6 of Showtime’s Billions leads up to a powerful scene where Axe and Rhoades finally go head-to-head. This blog will explore what you can expect to really happen in negotiations with an enforcement team if a similar situation…
In this week’s Billions episode entitled, The Good Life, U.S. Attorney Chuck Rhoades is ready to go after Axe Capital. We are taking a look at how that transpires despite a conflict of interest and lack of recusal….