Sep 29, 2020

Risk Management in the Era of COVID-19

One of our biggest challenges in dealing with COVID-19 is adapting traditional methods of limiting liability and risk transfer to our new environment. Contracting parties have long looked to provisions such as force majeure, limitations of liability, and indemnification to help manage risk. Here, let’s examine special considerations for those risk-avoidance mechanisms in the COVID-19 […] More

Apr 23, 2020

Defending Pro Se Malpractice Claims Against Attorneys

We are privileged to have an adversarial legal system where attorneys represent their clients’ interests in disputes pursuant to Court rules, rather than the litigants battling each other directly.  Nothing gives an appreciation for the wisdom of that system more than defending an attorney in a pro se legal malpractice claim.  Pro Se attorney malpractice […] More

Sep 11, 2019

Digital Currency and Its Possible Future in Securities Litigation

By Joel M. Wertman

Let’s start simple, or at least as simple as can be expected for a discussion on potential litigation related to money that for the most part… More

Jun 5, 2019

Pennsylvania Strikes Down Inter-Company Employee No-Hire Provisions and Creates a Majority Viewpoint

By Denis Dice, Douglas G. Fogle

In a case of first impression in the Commonwealth of Pennsylvania, the Pennsylvania intermediate appellate court… More

Challenges to Defending Form U5 Expungement Claims
Mar 26, 2019

Challenges to Defending Form U5 Expungement Claims

By Jessica E. Levine

Within thirty days of terminating an associated person’s registration, FINRA member firms are required to file a Uniform Termination Notice… More

Jan 9, 2019

FINRA Eligibility Rule is Another Hurdle to Expungement

By Denis Dice

Registered representatives associated with FINRA member firms (“stockbrokers”) are often times the subject of public customer complaints regarding their investments… More