Over the years that I have defended broker-dealers and investment advisors, a more robust overview of outside business activity (OBA) disclosures would have gone a long way to disprove a
Continue Reading Who Wants To Know How OBA Disclosures Can Save Your Firm?

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

fraud.jpgThe outside business activities of registered persons have the potential for causing your firm significant liability, especially where those activities are unknown to the firm, involve firm customers and constitute
Continue Reading What Does FINRA Rule 3270 Mean To You