Articles, Alerts & Publications Archive

The SEC Defined 'Fiduciary Duty,' and a Year Later, Advisers are Still Waiting for Clarity

Enforcing An Arbitration Agreement When The Federal Arbitration Act Does Not Apply

SEC Approves Reg Best Interest As Part Of A "Generational" Overhaul Enhancing And Clarifying Standards Of Care And Disclosure Requirements For All Broker-Dealers And Registered Investment Advisers

Are You Prepared for the Regulatory Audit of Your Senior Program?

SEC Publishes Best Practices To Protect Senior Investors

Second Circuit Orders DEA to ‘Promptly' Consider Cannabis Scheduling

Interview with Andrew Stoltmann – A Securities Attorney for Investors

Key Issues Discussed at SIFMA's C&L Society Regional Seminar in Boston

The SEC Defined "Fiduciary Duty" and a Year Later, Advisers are Still Waiting for Clarity

FinCEN Extends GTO Relating to Cash Real Estate Deals in 12 Metropolitan Areas

“Legislative Archeology: ‘It’s Not What You Find, It’s What You Find Out.’”

Gender Bias in the Legal Profession: Why It Exists and How to Overcome It

Employers Beware: Workplace Gossip about Sex May Risk Liability under Title VII

In a world where mobility is changing, auto dealers have their eye on ways to stay competitive

NJ Expands Medical Marijuana Program – Punts on Recreational Use

The New Jersey Department of Banking and Insurance Takes Action with Regard to Health Benefits Plans Issued Within the State

FINRA Refreshes Guidance on Money Laundering Red Flags

To Delegate or Not to Delegate, That is (Sometimes)the Question: Who Decides Arbitrability...and When?

NJ Fiduciary Rule Would Add To Investment Firms' Burdens

Florida Senate Passes Bill Paving the Way for Creation of a State Hemp Program

FINRA Proposes New Rules for Firms with a Significant History of Misconduct

Alabama Senate Judiciary Committee Approves Two Cannabis Bills

Limiting the Liability of Financial Institutions for Unauthorized Wire Transfer Claims

Five Strategies for Effectively Trying FINRA Disciplinary Cases

Smokable Medical Marijuana Legal in the Sunshine State

The Murphy Administration Announces A State-Based Healthcare Exchange As Of 2021

Supreme Court Broadens Liability for Disseminating False Statements under Rule 10b-5

FinCEN Issues Updated Advisory on Widespread Public Corruption in Venezuela

Employers Must Accommodate Off-Duty Medical Marijuana Use Under New Jersey Law

FDA Sends Mixed-Signals About CBD

Navigating Sales in the Senior Marketplace

Emoticons and Emojis: Hazards to be Aware of in Discovery

Interview with Phil Aidikoff - A Plaintiff's Attorney for Investors

The SAFE Banking Act Passes the House Financial Services Committee

SEC Issues Risk Alert Regarding Privacy Notices and Safeguard Policies Under Regulation S-P

Foster Professional Growth Opportunities

New Jersey's Highest Court Enforces No-Fault Act And Holds That Plaintiffs May Not Sue For Outstanding Medical Bills Exceeding Their Elected PIP Limits

Served with a Writ of Garnishment? Understand the Duties, Deadlines to Avoid Liability

As Promised, NJDEP Continues Pursuit of NRD Claims

Senior and Vulnerable Adults Legislation Introduced in Florida

CFPB Report Shows Financial Exploitation of Seniors is Becoming the Crime of the 21st Century

Tax Bill Targets Wall Street Trading

Six Things to Know about Arbitrating Diminished Capacity Issues in FINRA Customer Cases

Enforcement Actions Taken for Non-Participation in the 2018 SCD Initiative

Interview with Peter Mougey - A Plaintiff's Attorney For Investors

The Secure and Fair Enforcement (SAFE) Banking Act

NJ Enacts Controversial Law Outlawing NDAs in Discrimination and Harassment Settlements

U.S. Department of Labor Proposes Increase to Threshold for the White Collar Overtime Exemption

Q&A with FINRA Regarding the 529 Plan Share Class Initiative

Finra expungement: More limitations on the way