Briggs Securities Attorneys Author Article for NSCP

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June 28, 2013

Securities litigation attorneys Julie Firestone and Dan Supalla have been featured in the May/June 2013 issue of the National Society of Compliance Professional’s (NSCP) newsletter, Currents. Their article, “Detection and Prevention of Selling Away: Supervisory Practices and Challenges,” discusses hypothetical selling away cases, potential warning signs of said cases, and the compliance practices that may be implemented in order to detect and prevent future incidences.

Julie is a shareholder and a member of the firm’s Financial Markets Group. She is a current Co-Chair of the Securities Arbitration Subcommittee of the ABA Securities Litigation Committee and a former Co-Chair of the SEC Enforcement Subcommittee (2010-2013). She has been listed as a “Minnesota Rising Star” in Minnesota Super Lawyers.

Dan is an associate in the firm’s Financial Markets and the Appellate practice groups. He co-authored a white paper entitled “The Efficacy of Securities Arbitration and Proposals for Change,” which was cited by the Wall Street Journal in an article discussing proposals to eliminate mandatory arbitration. In addition, Dan co-authored an article in the William Mitchell Law Review entitled “Standard of Proof to Establish Amount in Controversy When Defending Removal Under the Class Action Fairness Act,” which was recently cited by the Ninth Circuit Court of Appeals.

The article can be viewed here.