Securities Practice: Federal and State Enforcement, Volumen2

accountant action administrative agency agreement alleged Amendment appearance apply Associates attorney attorney-client privilege authority CFTC Changed Circuit circumstances claim client Commission Commission's communications concerning Conduct confidential consent Corp corporation counsel criminal decision denied determination directors disciplinary disclosure discussion disqualification district court documents effect employee enforcement ESM's Ethics evidence Exchange fact federal filed formal former fraud held holding interest investigation involved issue joint defense law firm lawyer limited litigation materials matter ment NASD Nasdaq Note Novick obtained officers Opinion party person practice present prior procedures proceeding Professional protection provides question reason records Regulation Report represent representation respect responsibility result Rule screening Securities seeks sought staff standard subpoena substantial Supp supra tion trading Transfer Binder United violations waiver Young