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UB Greensfelder LLP

A Fish Out Of Water? A Futures Clearing Firm In A FINRA Arbitration

UB Greensfelder LLP on

I have previously written about issues uniquely affecting individuals who are dually registered as securities representatives (Series 7) and commodities associated persons (Series 3). In an Opinion and Order issued June 4,...more

Proskauer - Employee Benefits & Executive...

Fifth Circuit Vacates DOL Fiduciary Rule

Proskauer - Employee Benefits & Executive... on

In a 2-1 decision, the U.S. Court of Appeals for the Fifth Circuit vacated the Department of Labor’s fiduciary rule, including the expanded definition of “investment advice fiduciary” and the associated exemptions. The...more

Broker-Dealer Compliance + Regulation

FINRA Board of Governors Invalidates Class Action Waivers in Customer Account Agreements

Broker-Dealer Compliance + Regulation on

In an April 24th ruling that will have widespread impact among financial institutions, the FINRA Board of Governors held that a broker-dealer violated FINRA rules by including a mandatory class action waiver in its customer...more

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