(By accessing, browsing or using the pages below, you agree to the Blog Conditions of Use/Disclaimer available under "Links.")
FINRA has sent a clear message to member firms that it is very serious about enforcing its cybersecurity regulations. Requirements to protect personal information as well as to preserve necessary evidence are not being taken lightly by FINRA. READ MORE
A recent Letter of Consent issued by the SEC's Financial Industry Regulatory Authority (FINRA) contained some startling new requirements that, if enforced by FINRA, could place a significant burden on financial firms in regard to their privacy and cybersecurity policies. READ MORE
NOTICE.
Although we would like to hear from you, we cannot represent you until we know that
doing so will not create a conflict of interest. Also, we cannot treat unsolicited
information as confidential. Accordingly, please do not send us any information
about any matter that may involve you until you receive a written statement from
us that we represent you (an ‘engagement letter’).
By clicking the ‘ACCEPT’ button, you agree that we may review any information you transmit to us. You recognize that our review of your information, even if you submitted it in a good faith effort to retain us, and, further, even if you consider it confidential, does not preclude us from representing another client directly adverse to you, even in a matter where that information could and will be used against you. Please click the ‘ACCEPT’ button if you understand and accept the foregoing statement and wish to proceed.
