Vincent Graffeo

Vincent Graffeo

Burr & Forman

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Banking & Financial Services E-Note

In This Issue: - 70 Countries Agree to Share Bank Information in Tax Evasion Probe - Financial Industry Pushes Back Against Proposed ERISA Requirements - Federal Reserve Proposes Tougher Stress Tests for...more

7/11/2014 - Banking Sector Banks Choke Point ERISA Federal Reserve Information Sharing Payday Loans Stress Tests Tax Evasion

Protecting the Financial Services Firm as a Stakeholder: the Interpleader Action Defined (Part 1)

Financial services firms oftentimes can find themselves in the unenviable position of being in the middle of a dispute over money or property held by their clients. If two or more parties assert competing claims to the...more

6/19/2014 - Banks Life Insurance Shareholder Litigation Shareholders

Corporate & Tax E-Note - March 27, 2014

In This Issue: - High Court Considers Whether Corporations Can Lie to Investors - Nasdaq Enters Pre-IPO Market with Private Exchange - Many Early-Stage Start-Ups Still Struggle to Get Funding - Venture...more

3/28/2014 - Fiduciary Duty IPO Lying Nasdaq Small Business Startups Tax Deductions

Banking & Financial Services E-Note - March 27, 2014

In This Issue: - SEC Considers New Funding Rules for Shadow Banking System - Judge Backs FTC Authority to Pursue Payday Lenders - Regulator Estimates Volcker Rule Could Cost Banks Up to $4.3B - Appeals Court...more

3/28/2014 - Banks CFPB Cyber Attacks Debit Cards Debt Collection FTC Payday Loans SEC Volcker Rule

7 Tips For Handling A FINRA Investigation Of A Financial Advisor

Facing an examination or investigation by the Financial Industry and Regulatory Authority (FINRA) can be a stressful and intimidating experience for even the most seasoned financial advisor. Understanding the oversight role...more

3/3/2014 - Financial Adviser FINRA Government Investigations Request for Examination

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