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Robins Kaplan LLP

Financial Daily Dose 9.11.2019 | Top Story: Hong Kong Stock Exchange Makes Surprise Bid for London Exchange

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There’s some surprise market wheeling and dealing afoot this morning. The Hong Kong stock exchange has offered to buy its London counterpart as part of a deal valued at $37 billion that would connect “the established...more

Seyfarth Shaw LLP

FINRA Issues Guidance on the Handling of Customers When a Broker Leaves a Firm

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The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm....more

Seyfarth Shaw LLP

Former Protocol Members Are Stepping Up Their Restrictive Covenant Enforcement

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As we have discussed on this Blog over the past several years, the Protocol for Broker Recruiting (“Protocol”) allows for reciprocal poaching of brokers....more

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