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Searching Content indexed under Trials & Appeals & Compensation by Joshua Horn ordered by Published Date Descending.
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FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
2
FINRA Continuing Membership Application Checklist
The Financial Industry Regulatory Authority (FINRA) Rule 1017 requires broker-dealers to file continuing membership applications (CMAs) if they plan to embark on certain enumerated events such as changes in ownership, control, or business operations. The
United States
22 Oct 2016
3
Broker-Dealer Record Keeping Requirements
Registered broker-dealers (BDs) are subject to a variety of recordkeeping requirements that are promulgated and enforced by the U.S. Securities and Exchange Commission (Commission or SEC), the various states, and self-regulatory agencies such as the Financial Industry Regulatory Authority (FINRA).
United States
22 Oct 2016
4
Crowdfunding Intermediaries
On April 5, 2012, the Jumpstart Our Business Startups Act (the JOBS Act) was enacted. Consistent with its name, the JOBS Act sought to help small businesses and start-ups get off the ground and on a path toward success.
United States
22 Oct 2016
5
Who Wants To Chair A FINRA Arbitration
Every time that I start a FINRA arbitration, I find myself having the same internal debate; did we pick the right person to serve as the arbitration chair.
United States
30 Aug 2016
6
Supreme Court Limits Defendants' Use Of Offers Of Judgment To Moot Class Actions
Rule 68 provides that "at least 14 days before the date set for trial, a party defending against the claim may serve on an opposing party an offer to allow judgment on specified terms, with the costs then accrued."
United States
22 Jan 2016
7
The SEC May Be Getting A Longer Stick
The discovery rule extends the statute of limitations because it provides that the statute does not begin to run until the party bringing the claim discovers the wrongdoing.
United States
13 Aug 2015
8
Do You Really Need A Reason Why Not To Provide Your Client With A Personal Email Address
Not too long ago, I tried a case that had, among other issues, the improper use of the advisor's personal email account.
United States
9 Jul 2015
9
A Guide To Every Day Risk Avoidance Techniques And How To Address A Customer Complaint
Throughout the many years that I have defended financial advisors and their employers, we have often heard our clients ask, "I worked so hard and went out of my way for this client, so why I am being sued?" The answer to that question in most instances has nothing to do with the work ethic of the advisor.
United States
2 Apr 2015
10
EDPA Strikes Class Claims Filed Under Telephone Consumer Protection Act And Fair Debt Collection Practices Act
In Sandra Zarichny v. Complete Payment Recovery Services, Inc. et al. (Case 2:14-cv-03197-SD), Judge Stewart Dalzell agreed with defendants and dismissed the bulk of plaintiff’s allegations ..
United States
23 Jan 2015
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