News & Analysis as of

Financial Industry Regulatory Authority (FINRA) Termination

UB Greensfelder LLP

[Webinar] FINRA Expungement: The Differences Between Removing Employment Termination Disclosures and Removing Customer Complaints...

UB Greensfelder LLP on

Join Ulmer attorney Christopher D. Seps as he provides an update on FINRA’s current procedures and standards applicable to expungement of customer complaints and employment termination disclosures. He will also discuss...more

Carlton Fields

Avoiding a Messy Break-Up: How a Firm’s Investigation Can Deflect a Financial Advisor’s Form U-5 Defamation Claim

Carlton Fields on

Breaking up is hard to do. In the investment industry, it can be even harder because one half of the couple needs to publish the reasons for the break-up. When a registered representative separates from a broker-dealer...more

Morris James LLP

Chancery Court Expands on When Legal Fees Can Be Advanced

Morris James LLP on

Advancement and indemnification rights provide directors and officers of Delaware corporations comfort when accepting positions that often lead to being named in litigation. However, once the interests of the executive and...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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