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Ernest Badway to Speak at Citrin Cooperman RIA and Fund Manager Event

By Ernest Badway on October 10, 2011

Ernest Badway will be speaking at a Citrin Cooperman event on October 27, 2011, on the topic of Advisors and Fund Managers. Please contact Alyssa Parrilla, 212.697.1000 Ext. 1838, aparrilla@citrincooperman.com…

Continue Reading Ernest Badway to Speak at Citrin Cooperman RIA and Fund Manager Event

Court to FINRA: “I don’t think so”

By Joshua Horn on October 7, 2011

The Second Circuit Court of Appeals has ruled that the Financial Industry Regulatory Authority (“FINRA”) cannot seek to enforce a monetary fine through a judgment with the court. What does…

Continue Reading Court to FINRA: “I don’t think so”

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Ernest Badway to Speak at Citrin Cooperman RIA and Fund Manager Event

Court to FINRA: “I don’t think so”

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