Colorado partner Derek Anderson will speak on a panel at the FSI OneVoice 2019 conference in New Orleans on January 29th.
Jan 11, 2019
Derek Anderson to Speak at FSI’s OneVoice Conference
Derek Anderson to speak at FSI’s OneVoice Conference in New Orleans on January 29th. More
Jan 9, 2019
Denis Dice Published in PLUS Journal
Denis Dice’s article, “FINRA Eligibility Rule is Another Hurdle to Expungement” was published in this quarter’s PLUS Journal. More
Aug 1, 2018
Potential Claims Related to Future Income Payments
In recent months, Winget, Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers and insurance agents across the country to assist in the defense of claims… More
Jun 5, 2018
FINRA Implements New Outside Business Activity Rule
FINRA recently released a proposal that would change the relationship between brokerage firms and their registered representatives who do work for unaffiliated registered investment advisors. More
May 21, 2018
EU General Data Protection Regulation Effective May 25, 2018
In April 2016, the European Union (“EU”) Parliament approved the General Data Protection Regulation (“GDPR”) replacing the now antiquated “Data Protection Directive” originally adopted in 1995 More