We use cookies to customise content for your subscription and for analytics.
If you continue to browse Lexology, we will assume that you are happy to receive all our cookies. For further information please read our Cookie Policy.

Search results

Order by: most recent most popular relevance



Results: 1-10 of 125

A Settlement Agreement With FINRA (Or So You Thought)
  • Ulmer & Berne LLP
  • USA
  • September 27 2016

In OHO Order 16-26, a Hearing Officer confirmed what those uninitiated to FINRA’s Disciplinary process likely would not even suspect: an agreement to


The Math of Mark-UpsDowns
  • Ulmer & Berne LLP
  • USA
  • September 14 2016

It is well settled - indeed, it is a FINRA Rule - that broker-dealers need to charge "fair" prices when they buy securities from, and sell securities


Data Breach Response May Help Support Plaintiffs’ Standing, Says the 6th Circuit
  • Ulmer & Berne LLP
  • USA
  • September 12 2016

The U.S. Sixth Circuit Court of Appeals recently joined a minority of courts in holding that the compromise of personal information through a


Pick Your Poison: Given What A Jury Can Do, Is Arbitration Really That Bad?
  • Ulmer & Berne LLP
  • USA
  • September 1 2016

Some of my clients simply cannot enough bad things about the arbitration process. It is expensive. It is unfair. There's no industry panelist anymore


Advertising Case Loss Reveals Limits To FINRA’s Jurisdiction Over Outside Business Activities
  • Ulmer & Berne LLP
  • USA
  • August 30 2016

It is a simple fact that a broker-dealer has no obligation to supervise a disclosed outside business activity. How do I know? FINRA has said so. This


Possible Changes in Valuation of Business and Investment Interests for Estate and Gift Tax Purposes
  • Ulmer & Berne LLP
  • USA
  • August 29 2016

The Treasury Department and Internal Revenue Service (IRS) recently released proposed regulations concerning the valuation of business and investment


FINRA’s 2015 Annual Report: No Cliffhangers Here
  • Ulmer & Berne LLP
  • USA
  • July 1 2016

Yesterday, FINRA released its 2015 Annual Report, and it contained maybe one surprising figure: a decrease in the amount of fines it levied. Beyond


The Wendell Belden Case And Its Progeny: Fiduciary Before Fiduciary Was Cool
  • Ulmer & Berne LLP
  • USA
  • June 29 2016

The entire securities world is anxiously awaiting the implementation of the fiduciary standard over retirement accounts, and, by most accounts, the


A New Cycle?
  • Ulmer & Berne LLP
  • USA
  • June 28 2016

It seems like lease issues come in cycles: seemingly out of nowhere, a particular issue that may have never been a concern on previous leases arises


The Multi-Million Dollar Hole in PF Chang’s Cyberliability Insurance
  • Ulmer & Berne LLP
  • USA
  • June 27 2016

P.F. Chang's Bistro, Inc. (PF Chang) suffered a rude awakening when its cyberliability policy failed to cover almost $2 million dollars of fees and