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
Continue Reading Now Available Fox Rothschild’s National Survey on Restrictive Covenants – 2020 Edition

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
Continue Reading Federal Court’s Remand and Rejection of ‘Inscrutable’ FINRA Award Has Broad Implications

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.

Continue Reading Who wants to hear about pitfalls in the advisor/broker-client relationship