Samuel E Cohen
May 10, 2024 | The Legal Intelligencer
DOL's Retirement Security Rule Imposes New Fiduciary Standards on Financial Services, Insurance IndustriesLike many recent DOL rules related to retirement investing, the retirement security rule is polarizing and is sure to face significant legal challenges, including from the insurance industry to whom the rule applies a new, heightened duty.
By Samuel E. Cohen and Ryan P. Friel
7 minute read
May 04, 2023 | The Legal Intelligencer
FINRA Proposal Creates Urgency for Brokers Seeking Expungement of Customer ComplaintsWith the SEC's approval of arguably the most sweeping changes ever to FINRA expungement rules, brokers will soon be faced with even greater difficulty when seeking to expunge their records of career-damaging customer complaints.
By Samuel E. Cohen and Ryan P. Friel
6 minute read
May 12, 2022 | The Legal Intelligencer
FINRA, the SEC and Congress Aim to Safeguard Senior InvestorsThe financial exploitation of seniors is an unfortunate trend in the securities industry that has been exacerbated by the COVID-19 pandemic.
By Samuel E. Cohen and Ryan P. Friel
6 minute read
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