Practice Areas - Broker-Dealer
- Litigation Area
- Securities
- Investment Management
- Trading & Markets
- Privacy and Security
- Securities Enforcement and Investigations
| - White Collar Investigations and Enforcement
- Subprime Task Force
- Corporate Governance and Compliance
- Financial Services Area
- Derivatives
- Hedge Funds
- Registered Investment Companies
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| Contact Info | Telephone: 415-393-2000
Facsimile: 415-393-2286 (G I, II, III)
http://www.bingham.com/Lawyer.aspx?LawyerID=474
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| University | Yale University, Bachelor of Arts, summa cum laude, with honors, 1983 Phi Beta Kappa |
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| Law School | Stanford Law School, Juris Doctor, with distinction, 1986 |
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| Admitted | 1986, Maryland; 1988, District of Columbia; 1998, California; U.S. Supreme Court; U.S. Court of Appeals, District of Columbia Circuit; U.S. District Court, District of Columbia; U.S. District Court, Northern District of California |
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| ISLN | 908592232 |
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Documents by this lawyer on Martindale.com | |
FINRA Annual Priorities LetterW. Hardy Callcott,Aileen M. Foley,Amy Kroll,Michael D. Wolk, February 8, 2012 On January 31, 2012, the Financial Industry Regulatory Authority (FINRA) issued its annual letter to member firms outlining FINRA’s 2012 Regulatory and Examination Priorities. The annual letter has grown in recent years to a current length of 16 single-spaced pages with 41 separate regulatory...
FINRA Amends Proposal Requiring Filings for Private PlacementsDavid C. Boch,W. Hardy Callcott,James C. Magid,Michael R. Weissmann, February 2, 2012 On January 20, 2012, FINRA filed with the SEC a partial amendment to proposed FINRA Rule 5123 (Private Placement of Securities). This proposed rule would require broker-dealers to make filings with FINRA concerning most private placements they sell to investors. The most recent partial amendment...
FINRA Issues Guidance on the Heightened Supervision of Complex ProductsMargaret (Peggy) Blake,W. Hardy Callcott,Michael D. Wolk, January 26, 2012 On Jan. 17, 2012, FINRA issued Regulatory Notice 12-03 (“Notice”) regarding a member firm’s obligation to impose heightened supervision of retail sales of complex products. The Notice does not attempt to define what a complex product is; it merely identifies some of the...
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