United States:
Establishing Communication Best Practices For Brokerage Clients
13 January 2016
Fox Rothschild LLP
To print this article, all you need is to be registered or login on Mondaq.com.
Financial advisers who develop a few common sense,
risk-avoidance techniques in their client communications may not
only protect themselves from disruptive legal action but will
improve their client relationships.
We invite you to listen to this podcast in which Fox partners
Joshua Horn and
Ernest E. Badway, co-chairs of the firm's Securities
Industry practice group, discuss how brokerage firms can implement
a set of best practices to follow in day-to-day interactions to
minimize the risk of client complaints and disputes.
The content of this article is intended to provide a general
guide to the subject matter. Specialist advice should be sought
about your specific circumstances.
POPULAR ARTICLES ON: Corporate/Commercial Law from United States
ADA Compliance And Retail Websites
Klein Moynihan Turco LLP
For several years, consumers have flooded the Western District of Pennsylvania ("WDPA") with Americans with Disabilities Act ("ADA") compliance lawsuits, alleging that companies...
Chapter 3: Subcontractor Bonds
The Cromeens Law Firm
All they had to do before starting was to obtain a payment bond and a performance bond for the full amount of its subcontract. This was a requirement, so they did it. After they got...
Chapter 2: Subcontract Documents
The Cromeens Law Firm
The first rule about subcontracts is…there are no rules. Whatever you sign in a subcontract will be used against you.