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
Intra-Industry Arbitrations
So You Want To Change Firms — Part II
By Joshua Horn on
So you really want to change firms. Do you have a restrictive covenant or a non-compete? If so, your transition may be a little more complicated. To learn what restrictions…
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So You Want To Change Firms
By Joshua Horn on
One certainty in the brokerage world is that registered representatives often switch from one member firm to another. There is nothing wrong with the switch, but there is a…
The Film Don’t Lie When You Are Defending Yourself
By Joshua Horn on
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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What Is Happening To FINRA Arbitration
By Joshua Horn on
The SEC recently approved a FINRA proposal that will further restrict who can serve as “public” arbitrators. Under this new formulation, individuals who have worked in the securities industry and…
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Who Has Had A Problem With One Of Your Arbitrators
By Joshua Horn on
Anyone who has handled FINRA arbitrations, from the compliance officer to in-house counsel, you have probably had to deal with a problem arbitrator. How many of you have had arbitrators …
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So Who Wants To Inherit A Book Of Business
By Joshua Horn on
Brokers like anyone else enjoy making money the old fashioned way . . . . by inheriting it. Although everyone wants to inherit business, a recent Investment News article highlighted …
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Should You Feel Better That FINRA Vetted Its Arbitrators
By Joshua Horn on
As a result of a couple high profile awards that were overturned because of issues with the arbitrators, FINRA has vetted its pool of arbitrators and has instituted new procedures…
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Did You Know That FINRA Arbitrations Just Got More Expensive
By Joshua Horn on
Both the industry and customers liked FINRA arbitration because it was a relatively cost effective dispute resolution forum. With FINRA Notice to Members 13-21 and effectively doing away with having …
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Is This The Beginning Of The End To Arbitrations
By Joshua Horn on
This past week, members of the North American Securities Administrators Association lobbied Congress to do away with mandatory arbitration provisions from customer agreements. In a speech before this group, SEC…
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