Securities law practitioners should take note of a recent decision by United States District Judge Gerard E. Lynch, which marks the first use of the Securities and Exchange Commission’s new anti-fraud rules promulgated under the Investment Adviser Act.

“Capital Markets - Trading Issues for the Global Firm” Panel, SIFMA Compliance and Legal Division New York Fall Compliance Seminar.

“Internal Compliance Examinations (Large Firms)” Panel, NSCP 2008 National Membership Meeting, Philadelphia, Pennsylvania.

"Fraud in Markup: An Unusual SEC Decision," The Review of Securities & Commodities Regulation.

(co-authored with Timothy H. Irons) - The Global Warming Solutions Act of 2006 (AB 32) introduced new statewide goals for reducing greenhouse gas (GHG) emissions. The following year, Senator Robert Dutton’s lesser-known GHG bill SB 97 was passed. SB 97 does two things -- it directs the Office of Planning and Research (OPR) to develop guidelines for reducing or eliminating GHG emissions and protects infrastructure projects funded by voter-approved bonds from legal attack based on noncompliance with AB 32. Although the AB 32 exemption provided by SB 97 expires Jan. 1, 2010, the guidelines prepared by OPR and adopted by the state Resources Agency may pose significant, long-lasting changes to the environmental review and approval of projects throughout California.

SIFMA Compliance and Legal Division 40th Annual Seminar, Grande Lakes, Orlando, Florida, “Corporate Governance” Panel