FINRA Issues Regulatory Notice Sharing Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic
Jun 2, 2020

FINRA Issues Regulatory Notice Sharing Practices Implemented by Firms to Transition to, and Supervise in, a Remote Work Environment During the COVID-19 Pandemic

By Michael Schwartzberg, Michael H. DiTrapani

FINRA recently issued Regulatory Notice 20-16 providing firms with guidance on transitioning to a remote work environment and implementing remote supervisory practices. The Notice shares some common themes that the SRO has observed amongst firms of all sizes regarding steps being taken to transition their staff, associated persons, and supervisory policies and procedures to remain […] More

FINRA FAQs Offer Useful Guidance on Members’ Evolving Obligations
May 28, 2020

FINRA FAQs Offer Useful Guidance on Members’ Evolving Obligations

By Joel M. Wertman

The coronavirus pandemic (COVID-19) and resulting changes to everyday life has permeated seemingly every facet of society.  Thus, it is not surprising that FINRA is providing temporary relief for member firms from compliance with certain rules and regulations.  The relief is focused solely on specific identified rules and regulations found on the FINRA website.  https://www.finra.org/rules-guidance/key-topics/covid-19/faq  […] More

Pennsylvania DoBS Issues Guidance on COVID-19 Cyber and Financial Scams
Apr 30, 2020

Pennsylvania DoBS Issues Guidance on COVID-19 Cyber and Financial Scams

By Joel M. Wertman

As the Financial Industry Regulatory Authority (FINRA) has touted through the years, financial fraudsters tend to follow the old Willie Sutton maxim about why he robbed banks:  “because that is where the money is.”  In these trying financial times, increasingly “where the money is” happens to be the hands of consumers adversely affected by the […] More

COVID-19 Employment Law Update
Apr 23, 2020

COVID-19 Employment Law Update

And they’re off – The Plaintiffs Bar has started litigating the March 18, 2020 FFCRA Act! Many laid off employees will be rehired by their former employers as businesses attempt to return to normalcy following the COVID – 19 shutdown.  Despite good-faith bipartisan efforts, it is uncertain as to when the economy might return to […] More

Apr 23, 2020

Defending Pro Se Malpractice Claims Against Attorneys

By Kenneth A. McLellan

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

New York State Legislature Enacts Emergency Disaster Treatment Protection Act
Apr 20, 2020

New York State Legislature Enacts Emergency Disaster Treatment Protection Act

In order to shield healthcare facilities and healthcare professionals from potential civil and/or criminal liability resulting from care and treatment rendered to both COVID-19 patients and non-COVID-19 patients during the COVID-19 crisis, the New York State Legislature has included the Emergency Disaster Treatment Protection Act (“EDTPA”) in the state fiscal year 2021 budget.  The EDTPA, […] More

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