Commercial Litigation

Protecting Attorney-Client Privilege and Attorney Work-Product During Internal Investigations

Suppose your company suspects an employee broke the law, perhaps even using company property to...

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Securities and Financial Services

Are Broker-Dealers Acting in the Best Interests of Their Customers? ‘Not Yet,’ Says FINRA

Noting Deficiencies, FINRA Suggests Best Practices for Reg BI Compliance During its first-ever review of...

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Securities and Financial Services

Protecting Against Elder Investment Fraud and Exploitation

In this episode of Legally Qualified, RumbergerKirk attorneys Pete Tepley and Rebecca Beers talk with...

Legally Qualified Podcast

RumbergerKirk has launched a podcast, Legally Qualified, providing strategic legal insight and analysis for the business...

Securities and Financial Services

Implementing Reg-BI and Preparing for Examinations: The Compliance Obligation

With SEC Regulation Best Interest (“Reg-BI”) effective as of June 30, 2020, SEC examiners will...

Commercial Litigation

The Litigation Risks of the Care Obligation of SEC Reg BI

Here are some best practices to mitigate those risks. The Securities and Exchange Commission’s Regulation...

Securities and Financial Services

Minimizing Liability Under the SEC’s Reg-BI

Litigation Risks Posed by the SEC’s Regulation Best Interest Pete Tepley and Meredith Lees highlight...

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Securities and Financial Services

FINRA Office of Dispute Resolution Party Portal Now Required

Amendments to the Financial Industry Regulatory Authority, Inc.’s ("FINRA’s") Customer and Industry Codes of Arbitration...