Wexler Burkhart Hirschberg & Unger, LLP Blog

• BASIC BITCOIN LINGO
  Nov 30, 2017
  Our new blog will speak mostly to legal issues surrounding the phenomenon of bitcoin, blockchain and cryptocurrency. But to get the less informed of ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Best Efforts Contingency Offerings
  Mar 16, 2017
  Best Efforts Contingency Offerings In February 2016 the Financial Industry Regulatory Authority (FINRA) published Regulatory Notice 16-08 reminding ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• FINRA Rule 2273 requires broker-dealers to send "educational communication" to former customers of registered representatives
  Mar 16, 2017
  FINRA Rule 2273 requires broker-dealers to send "educational communication" to former customers of registered representatives Effective November 11, ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Who is the "Customer" For Purposes of FINRA Rule 12200
  Oct 20, 2016
  WHO IS A "CUSTOMER" FOR PURPOSES OF FINRA RULE 12200 By Martin P. Unger, Partner, Wexler Burkhart Hirschberg & Unger, LLP FINRA Rule 12200 provides ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: BrokerCheck HyperLink Requirement
  Apr 8, 2016
  Notice to Clients: BrokerCheck HyperLink Requirement
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: Defense of Promissory Note Cases
  Apr 29, 2015
  When moving to a new firm, many brokers receive "upfront money" in the form of a promissory note from their employing firm. Most times these funds are ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: Expungement Guidance - 3 Options for a Clean CRD
  Apr 8, 2015
  Most brokers will encounter customer complaints at one time or another during their career. Many of these complaints cast too wide a net, frequently ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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• Notice to Clients: Mandatory Background Checks & FINRA Rule 3110(e)
  Mar 25, 2015
  Effective July 1, 2015, FINRA Rule 3110(e) will require each member firm to investigate through background checks applicants character and business ...
  Posted By Wexler Burkhart Hirschberg & Unger, LLP
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