Archive for the ‘Securities & Litigation Update’
What is Attorney-Client Privilege?
You’ve hired a lawyer to help you with the legal matter you’ve been grappling with, but as you prepare for that first meeting with your new lawyer, you may have concerns about how much information you should provide him or her. After all, you’re pretty sure your lawyer is subject to attorney confidentiality—that is, he or she is required […]
SEC DISMISSES GOBLE CASE
UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No. 68651 / January 14, 2013 Admin. Proc. File No. 3-14390 In the Matter of RICHARD L. GOBLE ORDER DISMISSING PROCEEDING I. Richard L. Goble, the founder of North American Clearing, Inc., formerly a broker-dealer registered […]
Goldman takes one for the Team
As I read the SEC press release on Friday charging Goldman with fraud I couldn’t help but laugh and wonder if they contacted Mario Puzo and asked for advice on how to get the swirling controversy around them to subside. The fraud charges are comical at best due to the fact that one person from Goldman was named in the SEC indictment.
