With the exception of those of you who have literally been asleep for the last few years, you are well-versed in the attention FINRA and the SEC are giving to
Continue Reading Are Regulations Regarding Elder Investors Inevitable?
A customer complaint, now what?
When faced with a customer complaint, the key is what you do next. In the last of our podcast series, Ernie Badway and I discussed what firms should do
Continue Reading A customer complaint, now what?
Ten New Year Resolutions That Will Help Your Firm
Most people say that New Year resolutions are only as good as the paper on which they are written. Notwithstanding that ringing endorsement, I will give it a shot.
Here
Continue Reading Ten New Year Resolutions That Will Help Your Firm
Who wants to know more risk avoidance techniques
Ernie Badway and I have prepared a series of podcasts dealing with the relationships between broker-dealer, investment advisors and their customers. 
Here is the third part of that series focused
Continue Reading Who wants to know more risk avoidance techniques
A Recidivist; Here We Go Again
One area of focus for FINRA has been on recidivist registered representatives. A recidivist is an associated person who has repeated rule violations or customer complaints of a specific nature.
Continue Reading A Recidivist; Here We Go Again
Who wants to hear about pitfalls in the advisor/broker-client relationship
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
Why elder issues are not just about your clients
The SEC and FINRA have made it very clear that they are focused on senior customers and elder abuse. Granted, firms must be focused on the elder customers, but, at
Continue Reading Why elder issues are not just about your clients
The Film Don’t Lie When You Are Defending Yourself
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
Continue Reading The Film Don’t Lie When You Are Defending Yourself
What Does The “E” In Email Mean Redux
I recently blogged about the meaning of the “E” in email. For a further discussion of the dangers associated with email, you can listen to this podcast. The
Continue Reading What Does The “E” In Email Mean Redux
Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal
Our partner, Frank C. Razzano, has recently published an article, entitled “What Lies Ahead: Halliburton v. Erica P. John Fund, Inc.,” in the Securities Regulation Law Journal (Spring 2015). It
Continue Reading Fox’s Frank Razzano Publishes New Securities Article in Securities Regulation Law Journal