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Financial Industry Regulatory Authority (FINRA) Burden of Proof

UB Greensfelder LLP

FINRA Touts The Fact That Its Examinations Need Not Be “Fair”

UB Greensfelder LLP on

While I feel I have enjoyed as much success defending respondents in FINRA Enforcement matters as anyone, I am still careful to caution clients who are unwilling to consider any settlement that going toe-to-toe with FINRA at...more

UB Greensfelder LLP

FINRA Proposes To Dispense With Due Process, All Because It’s Failed To Do Its Job Of Policing The Markets

UB Greensfelder LLP on

Reading Reg Notice 19-17 makes me think of the legal arguments that I’ve recently read regarding whether a president can be found guilty of obstructing justice if the actions in question were taken out in the open, for...more

UB Greensfelder LLP

FINRA Says, Proof? We Don’t Need Your Stinkin’ Proof

UB Greensfelder LLP on

If you are a regular reader of this blog, then you know that over my last few posts, I have been talking about an increasingly visible effort by FINRA to turn its regulatory eye from rogue brokers – who have been an irritant...more

Bass, Berry & Sims PLC

Chris Lazarini Discusses Application of Inter-American Convention on International Commercial Arbitration

Bass, Berry & Sims PLC on

Bass, Berry & Sims attorney Chris Lazarini discussed a case involving an international family dispute over the holdings in a brokerage account. In this instance, the primary owner of the account – a mother living in Columbia...more

Morris James LLP

Court Of Chancery Explains The “Personal Claim” Exception To Advancement Rights

Morris James LLP on

In the area of what claims are subject to the right to have fees advanced to a former officer or director, there is no more often disputed issue than whether the claim asserted arose out of the role as an officer or director...more

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