Please join us for a complimentary webinar entitled Protecting Confidential Information and Client Relationships in the Financial Services Industry on May 23rd at 12:00 p.m. – 1:00 p.m. c.s.t. Full Story
If you are a broker-dealer or a registered representative at one, you sign on for some meddling by FINRA. Full Story
The SEC recently announced an action where the promoter allegedly told investors that the 2012 JOBS Act would allow his fund to raise billions of dollars by advertising to the general public and produce large profits for early investors. Full Story
In Seyfarth’s fifth installment in its series of 2013 Trade Secret Webinars, on Thursday May 23, 2013 at 12:00 p.m. Central Time, Seyfarth attorneys Scott Humphrey, Daniel Lanciloti, and Jason Stiehl will focus on trade secret and client relationship considerations in the banking and finance industry, with a particular focus on a firm’s relationship with its FINRA members. Full Story
David Blass, Chief Counsel of the SEC’s Division of Trading and Markets recently addressed the ABA’s membership at its annual meeting, and commented on the need to consider closely whether certain private funds, finders and other intermediaries should register as broker-dealers. Full Story
No matter what you do to protect yourself, there are risks all around. Over the years that I have defended brokers, I have found that one of the greatest liability risk is the way in which brokers have managed their elderly clients. Full Story
In this coverage dispute, there were underlying allegations brought by private investors and FINRA[1] against an insured broker stating that the broker made various misrepresentations with regard to shares in certain real estate investment trusts (“REITs”) and failed to conduct adequate due diligence on behalf of its retail customers with regard to those REITs. Full Story
The Financial Industry Regulatory Authority filed a proposed rule change to amend Rule 8313, which governs the release of disciplinary and other information by FINRA to the public. Full Story
UK Court of Appeal Limits Compensation Owed by Businesses which Breach Privacy Laws http://t.co/GQws2B81bY - @McCarthy_ca Canada Privacy Commish Recs Updates to Personal Information Protection and Electronic Documents Act http://t.co/ba8cLzEUtz @hunton_privacy Proposals for the regulation of shadow banking postscript http://t.co/mcgRddef2t - @StikemanElliott Latin American Update: Costa Rica and Peru bring Data Protection regulations into force http://t.co/eM1XQFWeZE - @reedsmithllp