SEC v. MA Lundy Associates, first determination that Scotch whiskey receipts were securities;
US v. Hill, first interpretation of short term note exemption under the Securities Act;
SEC v. J&B Industries, Canadian land as securities;
White v. SEC, false minimum in public offering;
In re Mutual Real Estate, divisibility of Regulation A under the Securities Act;
In re Spear & Staff, first interpretation of advertising rules under the Advisers Act -- I was trial counsel for SEC.
As a Special Asst. US Attorney I tried and got convictions in US v Lundy ; US v. Allard; US v. Fortier, among others.
As private practitioner I won dismissal in FINRA v. Cadaret Grant |
