OGC and Enforcement at SEC Speaks 2018 – Words Matter, Process Matters, Homework Matters
Dennis Stubblefield, a Partner at the firm, recently attended SEC Speaks, the Commission’s annual conference in which senior staff from…
Read MoreMonth: March 2018
Securities Law Update: The “Completely Irrational” Standard for Reversing Legal Error in FINRA Arbitration
For those entrepreneurial enough to form, own and operate a successful RIA firm, while there is great satisfaction in being…
Read MoreRIA Lawyer Update: How and When to Value an RIA Firm?
For those entrepreneurial enough to form, own and operate a successful RIA firm, while there is great satisfaction in being…
Read MoreWells Fargo Wealth Management Division Faces SEC Investigation on Sales Practices
Wells Fargo & Co. disclosed in a recent regulatory filing that its Wealth Management division, which includes FINRA member firm…
Read MoreCalifornia Securities Lawyer Update: FINRA No Longer Will Require B-D’s to Supervise Unaffiliated RIA’s
Under a FINRA proposal released this week, broker-dealers may no longer be required to supervise the activities of their registered…
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