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Securities employees' social media access cannot be touched by their California employers

USA - February 15 2013 On January 1, 2013, California joined Maryland and Illinois in restricting securities employers' access to their employees' and job applicants'…

What brokers need to know to make states happy

USA - February 14 2013 The North American Securities Administrators Association is exceedingly active, coordinating many broker-dealer examinations by a variety of state…

Gallagher hopes SEC soon will provide clarity on failure-to-supervise liability

USA - February 14 2013 In light of the Urban decision, the SEC has indicated it intends on expounding on its views of failure to supervise for legal and securities…

Beware of the rogue stockbroker

USA - February 13 2013 We take a step back and speak directly to attorneys for a change, in particular, those lawyers who may recommend stockbrokers to their clients. In…

You should be concerned with expanding brokercheck

USA - February 13 2013 FINRA announced that it is seeking proposed rule changes to make it easier for investors to use BrokerCheck. See http://www.finra…