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23 Oct 2017, 1:59 pm by Christopher J. Gray
  In addition, in instances where an investor’s account becomes over-concentrated in oil and gas investments, of a broker fails to disclose the risks associated with such an investment or investment strategy, the broker and his or her firm may well be liable for losses on the investment. [read post]
23 May 2012, 11:57 am by Kevin O'Keefe
A better approach may be to focus on how law firm leadership can lead their firm through turbulent water by using technology to engage their firm’s lawyers, clients, and the business community as a whole. [read post]
On 23 May 2019, the FCA published a Notice of Undertaking against the debt management firm, stating that it was concerned that: two of the terms in the firm’s standard form contracts had the potential to give the firm discretion to charge consumers unspecified amounts should a consumer cancel the contract, which could lead to unexpected high costs. [read post]
17 Jul 2024, 6:00 am by beng
For example, firms that have sophisticated patent practices may be well-placed to extend this into Gen AI capabilities because they will likely already have attorneys who are skilled around technology questions and issues. [read post]
18 Mar 2012, 8:01 pm by Diversity Insight
Jeanine Poole is a partner with Sulloway & Hollis, P.L.L.C. in the firm’s Concord, New Hampshire, office and an editor of New Hampshire Employment Law Letter. [read post]
14 Feb 2008, 8:08 pm
Seattle-based solo law firm The Christensen Firm claims it’s having trouble with its Web development vendor. [read post]
29 Apr 2024, 2:08 am by The Yellow Sheet
The next Yorkshire Informals event will take place on 23rd May. [read post]
31 Oct 2012, 5:29 pm by Andrew Ogletree
  The downside to this is legal services may become commoditized, which would make them less attractive investments. [read post]
4 Apr 2012, 7:00 am
In March 2012, Riggan Law Firm, LLC, a Missouri overtime law firm, working in connection with Kuhlmann LLC, filed a class action overtime lawsuit against SSM Health Care St. [read post]
17 Dec 2008, 1:50 pm
Otherwise, sniping, second-guessing, politics, and criticism within the firm may undermine a partner's ability to honor the terms of the arrangement with you. [read post]
The podcast also touches on how these changes may be seen as part of the FCA’s wider proposals and recent regulatory programmes – such as the Consumer Duty. [read post]
20 Feb 2008, 3:07 pm
The central figure reported as the mastermind of such investments is Ed May who, along with other individuals and firms, is the subject of several investigations including by the U.S. [read post]
9 Feb 2021, 5:40 pm by Dan Bressler
“ — “This is a question I ask myself many times each day since being appointed the MLRO for Weightmans in May 2020! [read post]
10 Oct 2016, 9:05 am by John Jascob
According to the MOU, cooperation will be most useful in issues of common regulatory concern, including initial application for registration as SD or MSP, ongoing supervision and oversight of covered firms, and regulatory or supervision actions by the CFTC or FCA that may affect the entity's operation in the jurisdiction of the other authority. [read post]
2 Oct 2017, 12:00 am by Gail Lamarche
Today’s guest post comes from Jeff Wilcox, an associate at the Hill Ward Henderson firm in Tampa. [read post]
2 Oct 2017, 12:00 am by Gail Lamarche
Today’s guest post comes from Jeff Wilcox, an associate at the Hill Ward Henderson firm in Tampa. [read post]
17 Jan 2018, 12:00 am
  Indeed, we think this is an accident waiting to happen.We offer a free initial consultation to investors who feel they may have been victimized in the financial markets. [read post]
22 May 2015, 4:00 am by Lynn Foley
Others still may want to move into an ‘elder statesman” role becoming a part-time face of the firm. [read post]