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

In a recent Acceptance, Waiver and Consent (“AWC”) a broker dealer was censured and fined for, among other things, the failure to conduct an adequate pre-hire investigation of a registered
Continue Reading Is This A Preview of FINRA’s Approach to Rule 3110(e)

Recently, a Texas appellate court upheld a common law prohibition against a former registered rep who had moved firms.

The court indicated that this departing broker had a common law

Continue Reading You Need To Be Careful When You Depart As A Broker With Confidential Information And Trade Secrets

The FINRA Board of Governors is considering implementing new rules that will require brokers to disclose their compensation when they move firms.

In many respects, this will cause issues for those

Continue Reading Moving Firms Maybe Getting More Difficult and Possibly Anti-Competitive?