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Pastore & Dailey Blog - Arbitration

14
Nov
2016

24
Oct
2016

23
Jun
2015

As of today, in the retirement and savings plan matters, money managers are not required to register as fiduciaries. The Department of Labor ("DOL") is about to clarify the situation by wiping out the difference that exists between financial advisors and broker dealers in regard to their responsibilities in retirement advices.

21
May
2015

The terms of the investment banking engagement letter are critical to the protection of the issuer in any deal. Often overlooked, however, is that the investment banker’s fee is often protected or lost by those same terms – particularly in small deals for micro-cap or under capitalized companies.