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5 Jun 2009, 12:34 pm
I just finished reading through FINRA's monthly report of disciplinary actions for May. [read post]
18 Sep 2012, 8:36 am
Accordingly, any dollar loss in this unique situation appears to have been incurred by the employer, rather than the plan, and there may not be any monetary damages for the fiduciary breach claim. [read post]
21 Oct 2010, 1:46 am
There is a chance however, that he may hire you before you get to tell him how great you are. [read post]
13 Jan 2009, 4:49 am
Individual lawyers may well say “do everything for me” but the firm may say “be as self sufficient as possible”. [read post]
21 Oct 2012, 6:47 pm
The British plan to liberalize law firm ownership may help struggling law firms as the recession continues to be slow in its resolution. [read post]
26 Aug 2014, 4:00 am
Are you a law firm associate? [read post]
30 Jan 2011, 9:55 pm
In addition to the traditional updates which firms need to make on Form ADV, advisers will also need to be aware of the new regulations with respect to ADV Part 2 which may require the adviser to complete a new form ADV part 2 during the updating process. [read post]
27 Feb 2009, 3:03 am
The firm offered voluntary buyouts this week, and may hold off on layoffs until March.Internationally, law firms are not faring any better. [read post]
29 Oct 2012, 9:47 am
A federal judge has ruled that the Sarbanes-Oxley Act privilege for PCAOB information protects materials that are specifically for the Board as well as internal audit firm communications that discuss confidential questions or comments made by the Board or reflect the firm’s development of responses to Board inquiries. [read post]
7 Dec 2021, 7:36 am
For completeness, it is worth noting that in some cases the FCA / PRA will expect a subsidiary rather than a branch to be established, and therefore in reality some firms may have little choice in this regard. [read post]
7 Dec 2021, 7:36 am
For completeness, it is worth noting that in some cases the FCA / PRA will expect a subsidiary rather than a branch to be established, and therefore in reality some firms may have little choice in this regard. [read post]
24 Sep 2019, 7:31 pm
In this article, I’ll cover a few options, including one way to do it yourself, a few website design companies founded by lawyers and the option to use the website design services of companies that your firm may already have a working relationship with…” [read post]
11 Aug 2010, 8:27 pm
Whether the law firms may have created affiliated companies outside the United States where the allegedly false documents are being prepared and then submitted to the law firms for use is also being investigated. [read post]
13 May 2010, 8:23 am
The Solicitor General was merely a member of the firms’ “advisory panel” that met once a year to discuss public policy issues. [read post]
18 Jan 2011, 6:48 pm
As paragraph 7 in the Preamble states, the comments do not add obligations to the rules, and no disciplinary action may be taken solely for a lawyer’s failure to conform to comments. [read post]
29 Aug 2008, 5:16 pm
Watch out, for your firm may be coming to F-book soon. [read post]
6 Jun 2011, 10:33 am
Indiana businesses looking for capital may want to consider pursuing Chinese investors. [read post]
27 Jun 2023, 7:26 am
This underscores the importance of firms having systems in place to flag situations where conflicts may arise, establish protocols for avoiding them and appropriate procedures to investigate such circumstances. [read post]
3 Dec 2017, 9:38 am
Claims may be brought in securities arbitration before FINRA. [read post]
2 Sep 2020, 10:34 pm
Each attorney at the firm who may receive leads from the LSA must also pass an attorney license check. [read post]
