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Lilian Morvay

December 22, 2020

Synopsis of Radle v. Kemp Award

On December 3, 2020, a panel of arbitrators in Philadelphia dismissed the statement of claim of customer Peter Radle, and sanctioned him $15,000 for his non-cooperation […]
June 9, 2020

CARES Act Paycheck Protection Program Requirements

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June 9, 2020

SEC Issues Guidance on Form ADV Disclosures for CARES Act Paycheck Protection Program Loans

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December 17, 2019

WHAT A DIFFERENCE A WORD MAKES, IF THAT WORD IS “CLIENT”

The recent GPB Class action suit against 60 independent broker-dealers and several other defendants has revealed a significant gap in coverage for many unsuspecting insureds.  Some […]
December 2, 2019

Lloyd, Gray, Whitehead & Monroe, P.C. December 2019 Newsletter

This newsletter is a periodic publication of Lloyd, Gray, Whitehead & Monroe, PC and is intended for general purposes only.
September 10, 2019
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SEC GUIDANCE ON RIA STANDARD OF CARE AND BROKER-DEALER EXEMPTION

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September 9, 2019
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With Regulation BI, Are FINRA Rules 2010 and 2111 Dead?

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July 15, 2019

FINRA Issues New Guidance on Extraordinary Cooperation Credit

On July 11, 2019, FINRA provided long-awaited supplemental guidance on crediting member firms and individuals for extraordinary cooperation in a FINRA investigation – a practice first […]
July 10, 2019

Investment of Public Funds – Pitfalls of Neglecting Periodic Review of Public Money Policies

In the second installment in our series on Investment of Public Funds, we use a specific example to highlight the danger of not reviewing the statutes, […]