In the current regulatory climate, broker dealers need to ensure they're engaging in best practices, even with clients with whom they have strong and long-standing relationships.
Many pitfalls abound. Negligence concerning trading authorization, powers of attorney and technology can potentially lead to litigation.
We invite you to listen to this podcast in which Joshua Horn and Ernest E. Badway, co-chairs of the firm's Securities Industry practice group, detail particularly pernicious practices for brokerage firms within the financial services industry.
Please click here to listed to the podcast
The content of this article is intended to provide a general guide to the subject matter. Specialist advice should be sought about your specific circumstances.
