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PIABA Lawyers Convince Congress Of The Importance Of Them Collecting Their Attorneys’ Fees
  • Ulmer & Berne LLP
  • USA
  • June 1 2018

I have written before of the ferocious effort by PIABA lawyers to fight for their ability to collect attorneys’ fees on contingency matters - FINRA


Last Call for GDPR Compliance
  • Ulmer & Berne LLP
  • European Union
  • May 11 2018

Have you thought about whether your business can, or must, comply with the GDPR? The European Union’s (EU) GDPR (General Data Protection Regulation


USCIS Expands “Unlawful Presence” for F, J, or M Foreign Students and Exchange Visitors
  • Ulmer & Berne LLP
  • USA
  • May 10 2018

On May 10, 2018 U.S. Citizenship and Immigration Services (USCIS) issued a new Policy Memorandum which greatly expands the “unlawful presence”


FINRA’s Attempt To Change Well-Established Federal Law On Churning
  • Ulmer & Berne LLP
  • USA
  • May 7 2018

FINRA has been busy lately issuing Reg Notices on proposed changes to its Rules. Several of the proposed changes seek to give FINRA more discretion


FINRA Knows Best - At Least According To FINRA - When It Comes To Hiring Decisions
  • Ulmer & Berne LLP
  • USA
  • May 4 2018

I don’t know how many times I’ve written about FINRA’s efforts over the years to address “rogue brokers,” or what it refers to nowadays more


FINRA’s Revolving Door: Much Ado About Nothing
  • Ulmer & Berne LLP
  • USA
  • April 20 2018

This week, FINRA named the CEO of Janney Montgomery Scott to its Board of Governors. Last week, FINRA hired the CCO of Charles Schwab to head its


Reverse-Churning: BDs Are Damned If They Do, And Damned If They Don’t
  • Ulmer & Berne LLP
  • USA
  • April 10 2018

A couple of years ago, I blogged about the concept of “reverse churning,” i.e., putting a customer who trades only infrequently into a fee-based


FINRA’s Stated Paradigm Shift On Enforcement Actions
  • Ulmer & Berne LLP
  • USA
  • March 28 2018

I have spoken about FINRA possibly putting an end to the policy of pursuing cases where formal disciplinary action serves little to no regulatory


Do FINRA’s Proposed MAP Rules Put PIABA’s Concern Over Money Ahead Of Fairness To Members?
  • Ulmer & Berne LLP
  • USA
  • March 26 2018

I have often used this forum to complain about FINRA’s lack of backbone when it comes to dealing with PIABA, the group of lawyers who represent