Martin P. Unger, a partner in Wexler Burkhart Hirschberg & Unger, writes: In many disciplinary cases, FINRA enforcement appears to use the general ethical rule as a sword, without regard to how remot
...k/a FINRA) and the NYSE (together, the self-regulatory organizations, or SROs) adopted equity research rules (SRO Equity Research Rules), which: ...
A person who lives in a single-room occupancy building for at least six months becomes a permanent tenant protected by rent stabilization, regardless of whether he has a lease or pays rent, a unanimo
Scott E. Mollen, a partner at Herrick, Feinstein, reviews cases involving whether a privately owned seasonal cottage, one of 283 that stand on land owned by a club the owners join when purchasing, sh
Norman B. Arnoff, who specializes in lawyers' and accountants' professional liability, writes that a review of recent enforcement cases illustrates that the PCAOB is vigorously pursuing its mission a
David Spears, a partner at Spears & Imes, and M?nica Folch, an associate at the firm, write that there is a serious defect in the Financial Industry Regulatory Authority's standard approach to settli
Ira Halperin, a partner at Meltzer, Lippe, Goldstein & Breitstone, and Gisella Rivera, an associate at the firm, discuss select 2011 court decisions and regulatory and legislative actions that signif
Esther S. Widowski, a partner at Widowski Law Group, and Andrew C. Pistor, an associate at the firm, write that, although warranted, current efforts to improve the financial regulatory scene appear i
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