We wanted to alert you to our updated 2023 National Survey on Restrictive Covenants. Ernest E. Badway – National Survey on Restrictive Covenants – Updated 2023 (foxrothschild.com)
Continue Reading Updated 2023–National Survey on Restrictive Covenants
Here is our updated “Who Does What…. ” publication. Ernest E. Badway – Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures Entities – Updated 2023 (foxrothschild.com)
Continue Reading Updated 2023– Who Does What: Broker Dealers | Registered Investment Advisers | Commodities/Futures EntitiesFox 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
Most brokers despise the fact that they need to re-take their examinations if they are not employed with a broker-dealer for 2 years or if they are not associated with
Continue Reading Let’s Not Get Too Excited with FINRA’s Proposal on Re-Taking Exams
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
Continue Reading So You Want To Change Firms — Part II
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
Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair. Unfortunately, you
Continue Reading Who wants to chair a FINRA arbitration
If you thought the SEC and FINRA were serious about elder issues, welcome to the Alabama, Indiana and Vermont. Each has focused on elder abuse issues.
These states will have
Continue Reading Elder Abuse Takes Another Twist and Turn
Anyone in a professional service business, like being a stock broker, have been faced with a client who decides to make a stupid decision. But the issue we all face
Continue Reading What to do about a stupid client
Unfortunately, a bad broker does not take on the same attributes as a fine wine. Bad brokers do rarely improve with time.
At least this was the recent message of
Continue Reading Why a Bad Broker Is Not Like Fine Wine