Tips For Staying Off The SEC’s Naughty List In 2019

By Blaine Doyle on October 1, 2018

I recently had to the opportunity to sit in on a talk from high ranking CFTC and SEC enforcement officials at a local bar association meeting. The purpose of the get together was, in part, to let industry folks and their lawyers know what the regulators will be focusing on in the near future in a non-adversarial forum. In other words, it was a chance to let industry players know what to avoid doing BEFORE…

Broker- Dealer Law Corner

What Not To Wear (Or Do) At Your FINRA OTR

By Blaine Doyle on March 20, 2018

I apologize for not posting anything recently, but, sadly, I was embroiled in a two-week arbitration that occupied most of my recent attention. I am home, however, and back in the saddle. In the meantime, here’s a post from Blaine Doyle, author of the classiest post ever in this blog, something about ancient Greece. I think. Or maybe it was King Arthur. Something memorable. Anyway, here is Blaine passing along comments from some FINRA lawyers…

Long Island Land Use and Zoning

As Summer Approaches, Landlords And Brokers Must Beware Of Rental Permit Requirements

By Blaine Doyle & Elizabeth Vail on February 20, 2017

Municipalities on Long Island are struggling to control rental properties. In Southampton, rental properties are governed by Chapter 270 of the Southampton Town Code (the “Code”). Section 270-3 of the Code establishes that an owner of a residential property shall not permit or allow its use or occupancy as a rental without first obtaining a permit. If an owner does rent without a permit, section 270-13(a) of the Code prohibits the owner’s collection of rent.…

Broker- Dealer Law Corner

Lost at Sea: Why FINRA’s Lack of Formal Guidance to CCOs Could Leave Them Adrift in Dangerous Regulatory Waters

By Blaine Doyle on February 5, 2016

In Homer’s epic poem the Odyssey, Odysseus and the crew of his ship are faced with the impossible choice of either sailing closer to Charybdis, a whirlpool capable of sinking their entire ship, or, alternatively, to Scylla, a sea monster just as deadly. Odysseus’ dilemma sprang to mind as I listened to a presentation last week from a panel that included a FINRA attorney meant to provide guidance on situations where FINRA will target an…

Blaine Doyle

Tips For Staying Off The SEC’s Naughty List In 2019

What Not To Wear (Or Do) At Your FINRA OTR

As Summer Approaches, Landlords And Brokers Must Beware Of Rental Permit Requirements

Lost at Sea: Why FINRA’s Lack of Formal Guidance to CCOs Could Leave Them Adrift in Dangerous Regulatory Waters

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