Lloyd S. Harmetz

Lloyd S. Harmetz

Morrison & Foerster LLP

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Latest Posts › Conflicts of Interest


Show Us the Money: FINRA Initiates Sweep Relating to Compensation Practices

FINRA has made no secret of its interest in broker compensation, and the potential conflicts of interest that can be generated by some types of compensation practices. FINRA discussed these issues in its 2015 annual...more

8/26/2015 - Broker Commissions Broker-Dealer Conflicts of Interest Fiduciary Standard FINRA Registered Representatives Request For Information Retailers Third-Party

Structured Thoughts -- Volume 4, Issue 13 -- October 15, 2013

In This Issue: FINRA’s Report on Conflicts of Interest: Issues for the Structured Products Market and Structured Notes, Their Hedges, and Dodd-Frank Excerpt from FINRA’s Report on Conflicts of Interest: Issues...more

10/17/2013 - Conflicts of Interest Dodd-Frank FINRA Structured Financial Products

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