Author

Jacob Frenkel

Jacob S. Frenkel is a partner in the law firm Shulman, Rogers, Gandal, Pordy & Ecker, P.A. in Rockville, Maryland. He is a former SEC Enforcement lawyer and former federal prosecutor who chairs his law firm’s Securities Enforcement and White-Collar Criminal Practice Group.

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What happens after the free lunch

August 01, 2009

Investigative wheels sometimes turn slowly, but they do turn....

Bernie, Bayou and a mighty big fine

July 01, 2009

Before Bernie it was Bayou; Bayou Fund and its principal, Samuel Israel -- that is....

Prepare for the if and the when

April 01, 2009

First Bernard Madoff. Now Sir Allen Stanford....

Mary Schapiro's new tune

March 01, 2009

The appointment of Mary Schapiro to the SEC reminds me of The Carpenters classic, "We've only just begun." How's that for a boomer reference? What are some of the "horizons that are new to us" that the chairman is now sharing? She recently wrote legislators saying there should be tougher capital requirements for broker/dealers, that hedge funds require oversight and regulated financial products must now come under the agency's thumb. FINRA has asked certain broker/dealers about the extent of investment advisory and hedge fund businesses associated with them. They must report back immediately....

What Madoff means to independent advisors

February 01, 2009

Bernard Madoff. Once a name revered on Wall Street now reviled. For decades, access to his firm was a prize for advisors and registered reps. Imagine, the status attendant to the privilege of investing with a luminary of the...