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Thursday, May 20, 2010

May 2010

Neil Baritz and David Richan conducted a mock examination of securities regulatory expert, David Paulukaitis of The Mainstay Group, before an audience of independent broker-dealer clients at a seminar hosted by Catlin, Inc. in Boca Raton, Florida. The examination of Mr. Paulukaitis focused on the increased scrutiny on the due diligence requirements of a broker-dealer in light of recent FINRA Regulatory Notice 10-22. The presentation included an analysis of Regulatory Notice 10-22 as well as other FINRA Notices to Members focusing on other aspects of broker-dealer required due diligence. A link to FINRA Regulatory Notice 10-22 and the Outline of the Examination of Mr. Paulukaitis is attached.

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posted by Baritz & Colman LLP at 11:53 AM

Monday, February 8, 2010

February 2010

Be careful what you write on that wall, Facebook friends! FINRA has just issued Notice 10-06 to guide firms and personnel on applying the communications rules to social media sites, such as blogs and social networking sites for business purposes. The FINRA guidelines caution members to develop policies and procedures that are best designed to ensure compliance with all aplicable requirements. FINRA also reminds members that guidelines should be considered in the context of a firm's own business and compliance and supervisory programs. The guidelines address social media and recordkeeping responsibilities, suitability responsibilities, interactive electronic communications when recommending investments, blogging, how Facebook, Twitter and LinkedIn figures in, supervision and third party posts and firm responsibilities. Click here for a complete copy of FINRA Notice 10-06. Susan L. Harper, Esq.

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posted by Baritz & Colman LLP at 2:53 PM

Thursday, December 3, 2009

December 2009

After completing a 40 hour certification course and 35 hours of intensive mediation observation and training, Nancy Colman is now a Supreme Court Certified Circuit Civil Mediator.

posted by Baritz & Colman LLP at 7:38 AM

Friday, August 14, 2009

August 2009

Neil Baritz presented a mock arbitration before an audience of approximately 400 financial advisors in San Diego, California at an annual compliance seminar hosted by First Allied Securities and Advanced Equities. Relying on a composite fact pattern reflecting recurring themes in the current litigation and regulatory environment, the mock arbitration focused on best practices and the sometimes conflicting roles of the financial advisor and OSJ supervisor in volatile markets.

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posted by Baritz & Colman LLP at 6:34 AM

May 2009

Neil Baritz led a mock mediation using the skills of well-known mediator Jeffrey Grubman, before an audience of independent broker dealer clients at a seminar hosted by Catlin, Inc. in Phoenix, Arizona. The mock mediation, resulting in a successful and mutually unacceptable settlement, was conducted over a two-day period, and featured a composite fact pattern reflecting current themes, against an overlay of insurance coverage, intransient parties and impending final hearings.

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posted by Baritz & Colman LLP at 6:30 AM

Monday, March 23, 2009

March, 2009

Susan L. Harper has accepted an invitation to join the Editorial Board of the Journal of Securities Law, Regulation & Compliance, Henry Stewart Publications LLP. Click here for a full listing of editorial board members.

posted by Baritz & Colman LLP at 11:43 AM

Tuesday, February 24, 2009

February 2009

For the second time in the last five years, a significant change has been made to the process an associated person must follow in order to have a customer complaint expunged from their respective records maintained by the Central Registration Depository. Effective January 26, 2009, the Financial Industry Regulatory Authority implemented new procedures for arbitrators to follow when considering requests for expungement relief pursuant to NASD Rule 2130. Craig Glasser authored a recent newsletter discussing these new procedures.

posted by Baritz & Colman LLP at 7:19 AM