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Ransomware In 2017: Not A Pretty Picture
  • Ulmer & Berne LLP
  • USA
  • August 9 2017

I am happy to share this post from my colleague, Greg Stein, about ransomware. While ransomware is not something unique to the financial services


The Head-In-The-Sand Approach To Supervision: A Primer
  • Ulmer & Berne LLP
  • USA
  • August 4 2017

There’s a claimant’s lawyer I’ve litigated against several times who is very good at his job, and who I personally like very much. Part of the reason


FINRA’s Board Acts To Fix The ProblemThat FINRA Created
  • Ulmer & Berne LLP
  • USA
  • August 2 2017

So, as you undoubtedly recall, in its typical reactive approach to regulation, FINRA has expressed concern - after having concerns expressed to it by


New Ohio Tax Amnesty Program To Begin January 1, 2018
  • Ulmer & Berne LLP
  • USA
  • July 26 2017

On June 30, 2017, Ohio’s 2018-2019 biennial budget legislation was signed into law by Ohio Governor John Kasich. Part of this budget bill is a


New Ruling: Despite Federal Law, Employers May Have to Accommodate Medical Marijuana Users
  • Ulmer & Berne LLP
  • USA
  • July 20 2017

An employer’s ability to refuse to accommodate an employee’s use of medical marijuana because it is a federal crime has been undermined by a court


Let The Sun Shine On FINRA’s Office Of Disciplinary Affairs
  • Ulmer & Berne LLP
  • USA
  • July 19 2017

Back in the old days, back when it was still NASD and it bore some reasonable semblance of a true self-regulatory organization, the important


Congress, OCC and Consumer Financial Protection Bureau at Odds Over New Arbitration Rule
  • Ulmer & Berne LLP
  • USA
  • July 17 2017

On Monday, the acting head of the Office of the Comptroller of the Currency, Keith Noreika, requested that the Consumer Financial Protection Bureau


New Partnership Audit Rules Require Amending Partnership and LLC Agreements
  • Ulmer & Berne LLP
  • USA
  • July 11 2017

On June 13, 2017, the IRS released its long-awaited proposed regulations on new audit rules that will apply to partnerships and multiple-member


FINRA’s Annual Report: I Wish It Was Fake News
  • Ulmer & Berne LLP
  • USA
  • July 9 2017

This past week, FINRA very, very quietly released its Annual Report for 2016. Too quietly, as they say in the movies. No press release. No press


The Unassailable FINRA Rule 8210
  • Ulmer & Berne LLP
  • USA
  • June 30 2017

My dissatisfaction with FINRA’s Rule 8210 and, more specifically, the aggressive manner with which FINRA wields that rule, has been the subject of