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April 24, 2006

Lawsuits Against Lawyers

          Two SEC enforcement cases filed in late 2005 illustrate the perils faced by securities attorneys who sell their corporate clients’ stock under questionable circumstances.  These cases can be best understood in the context of guidance provided by the SEC about when it will sue a company’s lawyers.

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April 24, 2006 in SEC Enforcement | | Comments (0)

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The Author


  • Michael MacPhail is an attorney at Holland & Hart LLP, where he specializes in securities industry and auditor defense and compliance. Among other things, Mr. MacPhail’s practice includes defending corporations and individuals in state regulatory, NASD, PCAOB, and SEC investigations and examinations, conducting internal investigations, and providing securities industry compliance counseling.

    For more information about Michael MacPhail, please click here.

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  • The information contained in this blog is provided for informational purposes only. It is not legal advice and should not be construed as providing legal advice on any subject matter.