Fox Rothschild’s Securities Industry Group and Labor & Employment Department have updated the firm’s National Survey on Restrictive Covenants, a quick reference guide for in-house counsel and human resource professionals
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The Market Crashing = Litigation Explosion!
Alas, the market crashes (nearly, 8% of its value today) and your 401k plan is devastated, but could it get worse? Of course, it could. Brokers and investment advisers as
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Memories Are Not Only for Songs and Broadway But also FINRA Expungements
Although songs and Broadway musicals routinely call upon “memories” as inspiration, it usually is not the province for decisions in FINRA arbitrations. However, we were treated to a memory lesson
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Federal Court’s Remand and Rejection of ‘Inscrutable’ FINRA Award Has Broad Implications
FINRA litigants and arbitrators alike should take note of a federal court’s decision rejecting an unexplained FINRA award when it was unable to discern its basis, notwithstanding that FINRA rules
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A Unique Dissent in a FINRA Arbitration Award Elicits Controversy Over FINRA’s Expungement Policy
Most FINRA arbitration awards are unanimous. However, once in a while, we have an interesting set of facts that results in a dissent, and, in the almost unheard of cases,
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A FINRA Arb Panel’s Ingenious Method for Resolving CRD Marks
Securities attorneys routinely are asked by people in the securities industry a form of this question: “how do I get rid of the marks on my license.” Typically, registered representatives
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FINRA Changes To Arbitration Procedure
FINRA is considering a number of changes to its arbitration procedure. For a good discussion on the subject, see this article.
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Who wants to hear about pitfalls in the advisor/broker-client relationship
Ernie Badway and I have prepared a series of podcasts that highlights client-issues and risk avoidance techniques for broker-dealers and investment advisors. We hope you’ll take a listen.
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Who Wants To Avoid Being Sued In This Market?
Now that I have your attention, there is a pretty tried and true method to avoiding customer complaints, especially in this volatile market. All too often, clients hide in their
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The Film Don’t Lie When You Are Defending Yourself
When you are faced with a customer complaint, the single most important thing in my expense is the content of the file. If it is not there, it will not
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