Featured Firms
Presented by BigVoodoo
Without proper supervision, a broker-dealer is exposed to liability such as when a fraud is committed by its registered representative. The general rule is that a broker-dealer is always its own registered representative's control person. In this day of enormous plaintiff's and arbitration claimant's awards as well as SEC and SRO regulatory actions, avoiding the draconian application of control person liability requires careful planning and execution of a well-reasoned, thoughtful supervision system.
October 21, 2005 at 12:00 AM
1 minute read
The original version of this story was published on Law.Com
Presented by BigVoodoo
The premier educational and networking event for employee benefits brokers and agents.
The Legal Intelligencer honors lawyers leaving a mark on the legal community in Pennsylvania and Delaware.
Consulting Magazine recognizes leaders in technology across three categories Leadership, Client Service and Innovation.
Atlanta s John Marshall Law School is seeking to hire one or more full-time, visiting Legal WritingInstructors to teach Legal Research, Anal...
Shipman is seeking an associate to join our Labor & Employment practice in our Hartford, New Haven, or Stamford office. Candidates shou...
Evergreen Trading is a media investment firm headquartered in NYC. We help brands achieve their goals by leveraging their unwanted assets to...
MELICK & PORTER, LLP PROMOTES CONNECTICUT PARTNERS HOLLY ROGERS, STEVEN BANKS, and ALEXANDER AHRENS