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Known as the “Supervision Rule,” FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons. The rule stipulates that the system of supervision should be reasonably designed to achieve compliance with all applicable regulations established by the Financial Industry Regulatory Authority (FINRA) and the […]

Scarinci Hollenbeck NYC Office Welcomes Securities, Regulatory, and Employment Litigation Attorney Angela A. Turiano March 5, 2024 – New York, NY – Financial services attorney Angela A. Turiano left her former firm of 15 years to join Scarinci Hollenbeck’s expanding NYC office. Ms. Turiano brings with her nearly two decades of experience handling securities, regulatory, and […]

Dan Brecher to Speak at Strafford CLE Webinar “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations” On Tuesday, May 2, 2023, Financial Securities attorney Dan Brecher will be speaking on a panel as part of a Strafford CLE Webinar entitled, “SPACs, de-SPACs, and Sponsor Liability: Conflicts of Interest, Mismanagement Claims, Disclosure Obligations”. The CLE webinar […]

The Commodity Futures Trading Commission recently issued new Guidance that makes it clear that companies will be rewarded for good behavior... The Commodity Futures Trading Commission (CFTC or Commission) recently issued new Guidance that makes it clear that companies will be rewarded for good behavior. The CFTC’s Division of Enforcement Guidance specifically explains how companies […]

Scarinci Hollenbeck Welcomes Distinguished Regulatory and Securities Attorney Paul A. Lieberman Lyndhurst, NJ, January 17, 2018 – Scarinci Hollenbeck is pleased to announce that Paul A. Lieberman, a distinguished Financial Services attorney with over 30 years of legal expertise, has joined the firm as Partner. Mr. Lieberman will be located in Scarinci Hollenbeck’s Red Bank, […]