Registered Representatives

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 the hectic world of financial services, registered representatives and investment adviser representatives are always looking to increase their assets under management. At what cost? Are there situations where you
Continue Reading When just saying “no” is a good thing

It was great speaking at the May 17 New York NSCP regional conference on risk issues facing firms where Ernie Badway and I discussed cyber-security, risk issues, regulatory matters, issues
Continue Reading Take Away From The NSCP New York Regional Conference

In this day and age of instant information and overstretched supervisory personnel, you have to be careful to avoid forgoing a very useful supervisory tool. Meeting face to face with
Continue Reading Why Face-to-Face Meetings Are Necessary for Proper Supervision