Monthly Archives: January 2013

FINRA Disputes: Analyzing the Benefits of All-Public Arbitration Panels

2012 was a year of significant change for the FINRA arbitration process.  Specifically, 2012 was the first full year in which investors initiating customer-complaint arbitrations in FINRA had the option of having their claims decided by an all-public panel.  According … Continue reading

Posted in Securities & FINRA Update | Tagged , , | Comments Off on FINRA Disputes: Analyzing the Benefits of All-Public Arbitration Panels

Tranferring Reps- B/D’s Need to Examine Potential Liabilities

Investment News recently published an article on discussing the ongoing practice of registered reps moving between brokerage firms throughout the financial services industry.  Oftentimes, reps will move to a new firm because of a more favorable compensation structure, other times because of … Continue reading

Posted in Securities & FINRA Update | Tagged | Comments Off on Tranferring Reps- B/D’s Need to Examine Potential Liabilities

US Patent Law – From First to Invent to First to File

On March 16, 2013 US patent law will undergo significant changes, as it moves from a first to invent to a first to file system.  This change will harmonize American patent laws more closely with those of the rest of … Continue reading

Posted in Intellectual Property | Tagged , , , , , , | Comments Off on US Patent Law – From First to Invent to First to File