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HTMLCompliance Matters: We Interrupt Our Regularly Scheduled Programming...
Fred N. Knopf; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
April 24, 2014, previously published on April 15, 2014
While we strive to bring you the latest regulatory matters that we believe you will find important for compliance purposes, we would like to take a moment to bring you information that may be just as valuable.

 

HTMLFINRA 2012 Regulatory and Examination Priorities: Current Issues Facing Securities Firms
Benjamin J. Biard, Fred N. Knopf, Jessica F. Longobardi, Stephanie Myers Bersak; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
February 24, 2012, previously published on February 23, 2012
The Financial Industry Regulatory Authority (FINRA) recently issued a letter to the executive representatives and chief compliance officers of FINRA member firms delineating areas of compliance that FINRA will focus on in 2012.

 

HTMLCourt Grants Broker’s Request for Expungement of Complaint over FINRA’s Opposition
Fred N. Knopf, Martin S. Schexnayder; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
December 12, 2011, previously published on December 6, 2011
A Texas federal judge recently granted a securities broker’s request for expungement of a prior complaint from his record, despite FINRA’s opposition to same. In a written opinion, The Honorable Sam Sparks of the Western District of Texas noted that there was little guiding authority as...

 

HTMLSEC Proposes Changes to Reporting Requirements
Fred N. Knopf; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
July 14, 2011, previously published on July 2011
On June 15, 2011, the Securities and Exchange Commission (SEC) announced proposed changes to SEC rules under the Securities Exchange Act of 1934 that would impact broker-dealers’ reporting and compliance requirements. It appears that the SEC is proposing these various amendments to more...

 

HTMLTexas Securities Litigation Addresses Liability Issue
Joseph A. D'Avanzo, Fred N. Knopf, Jessica F. Longobardi; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
September 9, 2010, previously published on September 2010
Senior U. S. District Court Judge Royal Furgeson held in Billitteri v. Securities America, Inc., et al. (Provident Royalties Litigation), No. 09-cv-1568 (N.D. Tex. July 26, 2010), that seller liability under Section 33 of the Texas Securities Act (TSA) requires more than simply being in the chain...

 

HTMLFINRA Issues 2010 Annual Examination Priorities Letter
Paula Golonka, Fred N. Knopf, Jessica F. Longobardi; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
April 12, 2010, previously published on March 2010
The Financial Industry Regulatory Authority (FINRA) conducts annual examinations of its member firms. These examinations are risk based and their frequency, scope and content will depend on the risk, scale and nature of a firm’s operations. On March 1, 2010, FINRA issued its 2010 Annual...

 

Adobe PDFNotable FINRA Rule Changes
Fred N. Knopf, Ami Shah, Abigail D. Rubin; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
July 8, 2009, previously published on June 2009
There have been several recent amendments to current FINRA rules, which impact broker-dealers and associated persons in the securities industry. Some amendments are favorable, such as the increase in the threshold for customer complaint reporting, whereas the amendment requiring Form U-4...

 

Adobe PDFPotential Impacts from the Proposed Changes to the Regulation of the Financial Industry and the Federal Securities Laws
Fred N. Knopf, Benjamin Biard; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
July 8, 2009, previously published on June 2009
In an effort to protect our clients' current and future interests, the existing rules and regulations in place and any proposed changes which could have an impact on business practices should be recognized and evaluated.

 

Adobe PDFFINRA Announces Special Arbitration Procedures for Investors Seeking Recovery of Consequential Damages for Auction Rate Security Losses
Benjamin Biard, Fred N. Knopf; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
February 10, 2009, previously published on January 2009
Through the end of November 2008, two hundred seventy-five (275) matters have been filed with the Financial Industry Regulatory Authority ("FINRA") seeking the recovery of consequential damages related to auction rate securities.

 

Adobe PDFNon-Statutory Employment Claims Still Subject To Arbitration under the Amended NASD Code
Fred N. Knopf, Linda P. Wills, Ami Shah; Wilson Elser Moskowitz Edelman & Dicker LLP;
Legal Alert/Article
January 9, 2009, previously published on December 2008
In possibly one of the first cases since the implementation of the revised NASD Code of Arbitration Procedure ("NASD Code"), the Supreme Court of Texas has issued a per curiam ruling concluding that an employee's non-statutory employment claim is subject to the mandatory arbitration...

 


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