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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Sometimes an exciting business opportunity really is too good to be true. In the past year, several news stories – Theranos, Fyre Festival, and Anna Delvey (affectionately known as the “Soho Grifter”) – have captured the public’s attention in what…
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In yet another call for non-compete reform, a group of unions, nonprofits and professors have asked the Federal Trade Commission to put an end to non-compete agreements across the United States. The call was led by a group known as…
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The last few months have seen a flurry of attention on the use of non-competes and whether they should be regulated in some fashion by the federal government. The primary focus of these efforts has been on the use of…
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