Ulmer & Berne LLP


Before You Hit Send On That RFP Response - A Few Quick Legal Tips for Responding to Requests for Proposals (RFPs)

USA - November 28 2017 As many professionals and business owners are well aware, there is often a tension between what is best from a business development perspective and

The Tax Cuts and Jobs Act of 2017

USA - December 22 2017 Congress has passed and the President is expected to sign the Tax Cuts and Jobs Act of 2017, the Republican tax reform bill. This alert summarizes

Rigorous compliance program supports the “rogue employee” defense to FCPA liability

USA - June 6 2012 Recent enforcement actions have confirmed the value of well-formulated and meticulously implemented corporate compliance policies in deflecting or mitigating the results of Foreign Corrupt Practices Act (“FCPA”) enforcement actions at the entity level

The New 20 Pass-Through Deduction of the Tax Cuts and Jobs Act - Impact of Choice of Entity Decision and Business Owner’s Income

USA - February 8 2018 One of the most talked about items in the newly passed Tax Cuts and Jobs Act is the deduction available to owners of pass-through entities under Code

This Case Could Mean An End To Bars And SuspensionsMaybe

USA - October 20 2017 Bear with me here as I relate the tale of John Saad and his tortuous path through the FINRA Enforcement process and, ultimately, the court system. It

The Real Lesson From FINRA’s 2018 Exam Findings Report

USA - December 11 2018 On Friday last week, FINRA released a report discussing the findings from its 2018 exams, providing what it described as “selected observations” that

Ohio Supreme Court Clarifies the Definition of “Participating in or Aiding” Securities Fraud

USA - November 7 2018 In a recent landmark decision, the Ohio Supreme Court declared that R.C. 1707.43 does not impose joint and several liability on a custodian of a

Money Talks, And FINRA Is Listening

USA - November 5 2018 Last year I wrote about FINRA’s effort to encourage firms to self-report their problems, pausing to wonder at the suggestion attributed to Jessica

All’s Fair When It Comes To Arbitrator Ranking

USA - October 30 2018 I just read an article about a research study conducted of FINRA arbitrations by three people associated with Harvard, Stanford, and the University of

Department of Homeland Security Announces Proposed Rule Redefining the Term “Public Charge”

USA - October 3 2018 The Department of Homeland Security (DHS) has posted on its website the text of its much-anticipated proposed rule redefining the term “public charge