Published: April 23, 2018 Listed In: Client Alerts
Seeking more uniform standards of care in the financial services industry, the SEC proposes to increase brokers’ duty to retail clients from the current “suitability” standard to a level approximating the more rigorous “fiduciary duty” that investment advisors already owe their clients. Comment period expires in late July 2018.
Published: April 19, 2018 Listed In: Client Alerts
Pastore & Dailey recently represented a mortgage servicing company in a financing transaction.
Published: March 26, 2018 Listed In: Client Alerts
Private-equity fund manager successfully defends federal claims brought by investors and takes steps towards legal remedies of his own.
Published: February 23, 2018 Listed In: PD Announcements