Articles of Interests for Our Clients

The Importance of A Spot Check

Organizational charts are utilized for many purposes, one of which is it ensure the clear understanding of delegated responsibilities and to whom those responsibilities fall to within the company. President Harry Truman famously had a sign on his desk that read “The Buck Stops Here”, telling America that at the ...
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FINRA Targeting Senior Investors

The Financial Industry Regulatory Authority (“FINRA”) appears to be targeting seniors – – or at least the brokers that provide financial services to them. This may very well create a new waive of enforcement actions as FINRA seeks the spotlight to inform the public it is out to protect this ...
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The Critical Importance of A Litigation Hold

It’s a letter, and the failure to circulate it during the initial stages of a litigation can result in a variety of sanctions from the court, ranging from paying for your adversary’s legal fees to outright striking of your claim or defense. The letter is called a litigation hold, and ...
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Archived Posts by Barry

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