Philip Feigin

Philip Feigin

Lewis Roca Rothgerber

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The "Accredited Investor" Question

Has the time come to license investors? Regulators are often called upon to draw regulatory lines. In my experience as a former regulator (some would argue I never left, though it’s been almost 16 years), when called upon to...more

7/30/2014 - Accredited Investors Investors SEC

Fiduciary Duty for Broker-Dealers and Agents

Could the states impose fiduciary duty on their own? For more years than I care to remember, consumer groups, state securities regulators and investment advisers large and small have warned of the confusion wrought on...more

5/5/2014 - Broker-Dealer Dodd-Frank Fiduciary Duty Investment Adviser NSMIA SEC State and Local Government

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