Vincent J. "V. J." Graffeo
Burr & Forman LLP
Articles
SEC proposes high frequency traders to be regulated by FINRA
USA - March 27 2015 The Securities and Exchange Commission announced on March 25, 2015 a proposal to amend Rule 15b9-1 under the Exchange Act to require broker-dealers…
FINRA proposes arbitration and exam fee increases, declares rebate
USA - December 9 2014 Following the final 2014 meeting of the Board of Governors last week, FINRA announced its proposal to increase fees associated with cancelling or…
Protecting financial stakeholders: using rule and statutory interpleader (part 2)
USA - September 29 2014 In my last blog post on interpleader actions, we explored the benefits a financial services firm can obtain from filing an interpleader action. An…
Supreme Court rules no presumption of prudence for ESOP fiduciaries
USA - July 31 2014 The United States Supreme Court clarified the duty of prudence that employee stock ownership plan fiduciaries owe to plan participants in its June 25…
Protecting the financial services firm as a stakeholder: the interpleader action defined (part 1)
USA - June 18 2014 Financial services firms oftentimes can find themselves in the unenviable position of being in the middle of a dispute over money or property held by…
