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May 26, 2009 1:02 pm


An irreverent Wall Street Blog
by Bill Singer Subscribe to RSS Feed: Blog Home | Past Entries's Intelligent Investing: Future of Regulation Written: May 26, 2009

VIDEO Litigation On The Street Four top flight securities attorneys discuss the future of regulation and litigation on Wall Street. Video introduction by Steve Forbes.  Topics include: Steve Forbes: Not Another Sarbox!  Lessons From The Crisis  Sarbox Redux?  Controlling Compensation  Stop The Revolving Door  Voice Of The People Schapiro's Impact  Arbitration Changes  Brokers Didn't Know Derivatives  Leveling The Playing Field  Good Places To Arbitrate  When To Call A Lawyer With: Jonathan Kord Lagemann is managing partner of Lagemann Law Offices. His focus is on representing member firms, brokers and customers in litigation as well as arbitration proceedings. He was previously counsel at Kutak Rock & Campbell and associate general counsel involved in litigation and regulation at Thomson McKinnon Securities Inc. Seth Lipner is a securities attorney at Deutsch & Lipner, expert in matters relating to arbitration, litigation and investor protection. He has been a professor at the Zicklin School of Business at Baruch College since 1982. He has participated in presentations to investigating and reforming bodies, including the House Subcommittee on Financial Services, the NASD Task Force on Securities Arbitration Reform and the New York Stock Exchange. Bill Singer is currently a shareholder in the Securities Practice Group of the law firm of Stark & Stark in New York, where he represents securities-industry firms, individually registered people and defrauded public customers. Singer served as a regulatory lawyer with both the American Stock Exchange and the NASD and also as an in-house lawyer for broker-dealers, mutual funds and investment advisers. He was formerly chief counsel to the Financial Industry Association; general counsel to the NASD Dissidents' Grassroots Movement; and general counsel to the Independent Broker-Dealer Association. He has chaired numerous arbitration panels and has represented witnesses during Congressional investigations. Jacob Zamansky founded his New York-based law firm, Zamansky & Associates, which represents individuals as well as institutions in complex securities, hedge fund and employment arbitrations. In 2001, Zamansky successfully sued former Merrill Lynch analyst Henry Blodget on behalf of a pediatrician misled by Blodget's stock research. Before founding his firm, Zamansky was a litigator for more than 30 years at Skadden Arps, Slate, Meagher and Flom LLP. His tenure also included serving as a federal prosecutor with the Federal Trade Commission. Hosted by David Serchuk is assistant editor for Intelligent Investing at Forbes. He has also been an editor at the markets desk of and a reporter at Forbes magazine. Prior to that, he was assistant editor at McGraw-Hill's Securities Week, and a reporter at Institutional Investor's Compliance Reporter. David has also written for a wide variety of media outlets including: National Public Radio's "On The Media," American Public Media's "Marketplace," the New York Post, Playboy and The New York Times' "Upfront." He has been interviewed on NPR's "To The Point," CNBC's "Power Lunch," the E! Network's "Forbes Celebrity 100: Who Made Bank" and the Louisville Courier-Journal. Career highlights include interviews with Ray Bradbury, P.J. O'Rourke and Hugh Hefner; getting barbecue with Jeff Foxworthy; reporting about the damage wrought by "flaring," or burning natural gas; and bringing the sound effect known as the Wilhelm Scream to national attention. Currently he is working on his first book.


May 26, 2009 6:49 pm


This is good stuff.  You are correct, the regulators are backwards looking and all they do is make regulatory changes.  Is it time for the regulators to charge a compliance fee so they can get real professionals to help audit the firms.  So people that really know and understand ops, technology, etc.  are doing the audits.