Articles

Results 1 to 5 of 11
Most popular |Most recent


Supreme Court Affirms And Narrows SEC’s Use of Disgorgement as Remedy

USA - June 26 2020 In a closely-watched case that could have significantly upended the status quo of disgorgement in regulatory enforcement proceedings, the Supreme…

Jordan D. Maglich, Mark A. Kornfeld.

Financial Advisor Litigation Goes Digital in the Age of COVID-19

USA - June 8 2020 In response to the COVID-19 pandemic, FINRA as well as state and federal courts throughout the country have postponed hearings, stayed legal…

Amy L. Lenz, Jordan D. Maglich, Lauren E. Stine.

SEC Adopts New Disclosure Form CRS and Issues Official Guidance Regarding Investment Advisers’ Fiduciary Duty

USA - February 5 2020 On June 5, 2019, the Securities and Exchange Commission approved new regulations applicable to broker-dealers and investment advisers registered with…

Joshua M. Hufford.

Defending a FINRA Investigation to Avoid a FINRA Enforcement Action

USA - February 5 2020 Receiving a Rule 8210 request from FINRA. It's the moment that every broker-dealer dreads. But what many broker-dealers fail to appreciate is that…

Joshua M. Hufford.

Spoofing in Commodity Futures Exchanges

USA - November 11 2019 The CME Group based in Chicago is the largest futures exchange in the world and operates the Chicago Mercantile Exchange (CME), the Chicago Board of…

Luke Cass.