It's Monday morning, and a compliance officer is already dealing with an urgent request from a regulator. The firm may …
Recent Investor News and Alerts
A compliance officer at a broker-dealer receives a proposal for a new advisory arrangement. The compensation formula seems defensible, but …
An email from Compliance lands at 6:12 a.m. A branch manager wants to “quickly discuss” outside business activity. A client …
A lot of advisory firms reach the same point in their growth curve. The founding team built the business around …
ADVERTISING MATERIAL | ATTORNEY ADVERTISEMENT
This website is marked as “ADVERTISING MATERIAL” and as “ATTORNEY ADVERTISING”. The responsible attorney for this attorney advertisement is Joshua B. Kons, Esq. (Juris No. 434048), Copyright © 2012-2026. All Rights Reserved. In contingency fee representation, clients may still be responsible for costs. Prior results do not guarantee a similar outcome.