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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...

Peter J. Tepley
Rebecca A. Beers
Securities and Financial Services

Prepping for SEC Reg BI Exams: What ‘Good-Faith’ Compliance Efforts Look Like

Regulators won’t demand perfect compliance right away, but firms need to show that they’re working...

Rebecca A. Beers
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...

Peter J. Tepley
Rebecca A. Beers
Securities and Financial Services

Steps to Avoiding Clearing Broker Liability

Courts and arbitration panels have increased their attention on the relationship between introducing securities broker-dealers...

Rebecca A. Beers