Need help bringing your case to a close?  Please consider Cummins Mediation Services.  

Resume and Fee schedule available on request.

Please contact me at dancummins@CumminsLaw.net or at 570-319-5899 to set…

Presenting the below CLE Seminar today.  To access the written materials for the event (two articles on tips to improve your chances for success at ADR proceedings written by Daniel …

Today’s Supreme Court decision in McGirt v. Oklahoma, holds:

Much of eastern Oklahoma (likely including Bartlesville) is within Indian Country.

Only federal courts, and not state courts, may prosecute an…

As you may already be aware, Stark & Stark has assisted countless investment advisers with regulatory, legal, and compliance matters over the past thirty plus years. We have assisted our…

Since it first announced its “Cybersecurity Initiative” in April 2014, the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) has been relentlessly setting its sights on RIA’s information security programs.

In addition to hundreds of individual suits, the nation-wide litigation against JUUL now includes more than 100 public school districts, across nine states, including Pennsylvania. These school districts are seeking…

Parties within a chain of transactions may face liability for dishonesty and assistance, even if they do not have actual knowledge of fraud.

By Stuart Alford QC and Yasmina Vaziri…

In this issue:

• Blockchain Solutions Announced in Auto, Shipping, Medical and Aid Sectors

• Fund Issuing Digital Securities Obtains SEC Registration, Bitcoin ETP Lists on Xetra

• FATF Issues…

On July 2, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-22 (the Notice) announcing updates to its interpretations regarding (1) FINRA Rule 4210(e)(8), which specifies margin requirements for…

On July 1, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-21 (the Notice) providing guidance on compliance with FINRA Rule 2210 Communications with the Public when creating, reviewing…

On June 29, the Financial Industry Regulatory Authority (FINRA) issued Regulatory Notice 20-20, updating members on regulatory coordination efforts concerning compliance with Consolidated Audit Trail (CAT) reporting rules.

On June 29, the Securities and Exchange Commission issued an order raising the filing threshold for broker-dealers’ Form 17-H filings made pursuant to the Securities Exchange Act of 1934 Rules…

The Ninth Circuit Court of Appeals recently clarified that a named plaintiff gives up his or her right to represent a class if, in an individual settlement, he or she…

The USDOL has been issuing a slew of Opinion Letters of late, under the stewardship of Cheryl M. Stanton, Administrator of the Wage and Hour Division. Many of these deal…

While commissions and bonuses are subject to the various laws that regulate wages, such as the FLSA and the Texas Payday Law, they are unique in rather important manners.

Many businesses are beginning their re-opening phases, while others are being forced to close again due to COVID-19 fluctuations.  In such uncertain circumstances, many employers are struggling to find a…

NELP staffers have an editorial about being “Unemployed in America, and tired of waiting.” Some key points to pay special attention to:

With roughly one in four workers…

A little more than one year ago, we reported on a settlement (Cassell et al. v. Vanderbilt University, et al.) involving the alleged wrongful use of personal information belonging to…