UBS Adds New Non-Compete Clause To Bonus Agreements
Just months after exiting The Broker Protocol, UBS Financial Services has reportedly added a broad non-solicitation clause to bonus agreements…
Read MoreMonth: February 2018
Federal Court Denies Broker-Dealer’s Request for Internal FINRA Documents in SEC Enforcement Action
On February 13, 2018, a federal district court judge denied a U.S. broker-dealer’s request for leave to compel internal regulatory…
Read MoreCalifornia Securities Lawyer Update: FINRA Releases 2018 Regulatory and Examination Priorities Letter
Each year, the Financial Industry Regulatory Authority (FINRA) outlines its core areas of focus through its annual Regulatory and Examination…
Read MoreMaserati-Buying Insurance Agent Admits to Stealing $1.5 Million from Elderly Clients
On February 5, 2018, a San Diego insurance agent, Shawn Heffernan, pleaded guilty to defrauding senior citizens and others out…
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