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Update on Status of SEC Regulation Best Interest

USA - January 4 2019 On April 18, 2018, the SEC proposed a new “best interest” standard of conduct for broker-dealers and their associated persons when making...

Margaret Winterkorn Meyers.


California Supreme Court Decision Raises New Questions About Advance Waivers of Conflicts

USA - December 20 2018 The California Supreme Court declined to enforce a law firm’s engagement agreement on the basis of the agreement’s blanket advance conflict waiver...

Jacob Taber, James Q. Walker.


In-house lawyers beware: SEC expands supervisory liability

USA - October 19 2010 A SEC Administrative Law Judge ("ALJ") recently held that an in-house lawyer at a broker-dealer with no direct supervisory authority over a retail financial advisor was, nonetheless, that financial advisor's "supervisor" under the federal securities laws....

James Q. Walker.


New decision on the application of attorney- client privilege to communications with in-house counsel

USA - February 11 2009 A recent decision out of the Northern District of Illinois provided a more expansive application of the attorney-client privilege to communications with in-house counsel than other courts have been willing to adopt....

Hellen Park, James Q. Walker.