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Recent Blog Posts

FINRA Guidance Helps Departing Brokers

On April 5, 2019, FINRA provided guidance on customer communications related to departing registered representatives.  The full text of the Regulatory Notice can be found here:  FINRA Regulatory Notice.   Member firms and registered representatives need to be aware of this…

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2019 EEOC Bracketology – Test Your Knowledge

The Equal Employment Opportunity Commission (“EEOC”) recently released its charge statistics for FY 2018. The number of employment discrimination charges filed in FY 2018 totaled 76,418, a decrease from FY 2017. The EEOC obtained more than $500 million in FY…

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