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
Let’s Not Get Too Excited with FINRA’s Proposal on Re-Taking Exams
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
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So You Want To Change Firms — Part II
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
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When just saying “no” is a good thing
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
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Who wants to chair a FINRA arbitration
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
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Elder Abuse Takes Another Twist and Turn
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
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What to do about a stupid client
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
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Why a Bad Broker Is Not Like Fine Wine
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
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Take Away From The NSCP New York Regional Conference
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
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Why Face-to-Face Meetings Are Necessary for Proper Supervision
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