PIABA BAR JOURNAL VOLUME 23, NO. 2 • 2016
SUPERVISION OF THIRD-PARTY/POWER OF ATTORNEY ACCOUNTS
Douglas Schulz and Tracy Pride Stoneman
CAN BROKERAGE FIRMS ANTICIPATE BROKER MALFEASANCE?
Edward S. O’Neal
RETAIL OIL AND GAS INVESTMENTS
Brian J. Henderson, Joshua Mallett, Craig J. McCann, and Regina Meng
REASONABLE DUE DILIGENCE FOR OIL AND GAS DRILLING PROGRAMS
Frederick Rosenberg and Lawrence Elkus
A 360 DEGREE VIEW OF ROLES AND RESPONSIBILITIES CONCERNING DIMINISHED CAPACITY: FINANCIAL ADVISERS’ OBLIGATIONS TO CLIENTS, LAWYERS REPRESENTING CLIENTS, AND LAWYERS PREPARING THEIR PRACTICES
Elissa Germaine, Nicole G. Iannarone, and Teresa Verges
THE BROKER-DEALER’S ROLE IN THE DETECTION AND PREVENTION OF ELDERLY FINANCIAL EXPLOITATION
Teresa Verges
LAWYERS’ OBLIGATIONS WHEN REPRESENTING CLIENTS WITH DIMINISHED CAPACITY
Elissa Germaine
KEEPING OUR HOUSES IN ORDER: LAWYERS’ OBLIGATIONS CONCERNING OUR OWN OR OUR COLLEAGUES’ INABILITY TO COMPETENTLY REPRESENT CLIENTS
Nicole G. Iannarone
USING INVESTOR ALERTS TO STRENGTHEN SECURITIES ARBITRATION CLAIMS INVOLVING FIXED INCOME SECURITIES
Michael B. Engdahl
INVESTORS’ CORNERED
Jason Kueser
EXPERT’S CORNER: BROKERAGE FIRM LIABILITY FOR SELLING AWAY TRANSACTIONS AND THE DUTY OF SUPERVISION
Richard M. Phillips
RECENT ARBITRATION AWARDS
Robert Van De Veire
CASES & MATERIALS
Joseph Wojciechowski