- Independent Broker Dealer Consortium
White Papers
July 25, 2017
By Barry R. Temkin and Michelle Atlas* Following the financial crisis of 2008, the role of Chief Compliance Officer for financial institutions has been redefined, most […]
August 23, 2017
Insurance issues often influence the outcome of securities arbitrations and mediations, yet the workings of errors and omissions insurance is not fully understood by many lawyers, […]
June 29, 2018
The New York State Department of Financial Services has promulgated 17 new cybersecurity regulations which apply to regulated entities doing business in New York. The new […]
July 16, 2018
Hiring the right talent, maintaining accountability for those you hire, and managing through the complex regulatory landscape has never been more important – and more challenging- […]
August 2, 2018
In recent months, Winget Spadafora & Schwartzberg, LLP (“WSS”) has been engaged by numerous insurance E&O carriers, broker-dealers and their registered representatives, and registered investment advisors […]
October 14, 2018
While millennials in general may not be hot prospects, the young adult children of your clients are another matter. If you want to keep managing that […]
August 16, 2019
In civil litigation where the narrative includes financial information, an experienced forensic accountant delivers analytical clarity while providing accounting, financial and investigative expertise. Backed by relevant […]