Hot Topics in International Trade with Braumiller Law Group: Customs Broker Modernization Regulations 19 CFR 111
Investment Management Roundtable Discussion – Data Privacy and Security
SEC Activity with Fixed Income and Credit Funds
Bill on Bankruptcy: Easterbrook Turns the Tide on Student Loans
Confirmations: Plugging Into Electronic Confirmations
Bill on Bankruptcy: Rakoff Reverses Himself in Madoff Case
Bass, Berry & Sims attorney Chris Lazarini outlined a court’s decision to uphold a permanent injunction against a broker finding the appellate rules do not allow for an appeal as a matter of right. In this case, a bank sought...more
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
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a former broker sought to overturn a jury verdict finding him guilty of securities fraud, obstruction of justice and wire fraud by arguing, among...more
Bass, Berry & Sims attorney Chris Lazarini provided insight on a case in which a former commodities broker claimed her former employers retaliated against her for filing a civil rights complaint by causing her new employer to...more