FINRA Issues Cybersecurity Investor Alert

Stockbroker Law - Wednesday, April 01, 2015
FINRA Issues Cybersecurity Investor Alert

On February 3, 2015, FINRA issued an investor alert, entitled “Cybersecurity and Your Brokerage Firm (http://www.finra.org/investors/alerts/ ..

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ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciaries

Stockbroker Law - Tuesday, August 12, 2014
ERISA Plan Trustees Subject to Offsets for Prohibited Transactions as Functional Fiduciaries

ERISA-Qualified Pension Plans The past decade has seen an explosion of new investment products being purchased in ERISA-qualified pension plans. T ..

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Tenants-in-Common Investments: An Accident Waiting to Happen

Stockbroker Law - Friday, August 01, 2014
Tenants-in-Common Investments: An Accident Waiting to Happen

The most common form of tenancy-in-common interests involves ownership interests in real property, with two or more persons possessing undivided inter ..

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New York State Deferred Compensation Plan Beneficiary Designation

Stockbroker Law - Tuesday, July 22, 2014
New York State Deferred Compensation Plan Beneficiary Designation

The New York State Deferred Compensation Plan is presently administered through Nationwide, and curiously, beneficiary designation forms must be maile ..

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FINRA Investor Alert: IRA Rollover Tips

Stockbroker Law - Monday, June 30, 2014
FINRA Investor Alert: IRA Rollover Tips

The Financial Industry Regulatory Authority (FINRA) issued an investor alert entitled The IRA Rollover: Ten Tips to Making Sound Decision (http://www. ..

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