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Foreign brokers doing business in the United States

USA - August 18 2014 Foreign brokers that engage in securities transactions with U.S. investors based in the United States must be registered with the Securities and...

Don E. Felice, Gregory H. Horowitz, Laura Anne Corsell, Howard Kailes, David F. Broderick.

U.S. brokers doing business overseas

Canada, USA - July 17 2014 Recently, regulators have made inquiries about the lawfulness of U.S. brokerage firms soliciting foreign clients. The regulators want to know under...

D.C. Circuit overturns lower court ruling and reaffirms the ability of in-house counsel to conduct internal investigations

USA - July 1 2014 In a significant decision issued last week reaffirming the importance of the attorney-client privilege in connection with internal investigations...

Scott S. Christie, James J. Freebery, Thomas J. Finn, Paula Cruz Cedillo, Robert A. Mintz.