Andrew Dennington

Andrew Dennington

Conn Kavanaugh

Contact
View Bio
RSS

Latest Posts › Unregistered Brokers

Share:

Failure to Register With FINRA as a Broker-Dealer Can Cost Mergers and Acquisitions Brokers Dearly

Conn Kavanaugh attorneys Andrew R. Dennington and Julie M. Muller recently secured a significant win for their client before the U.S. First Circuit Court of Appeals. The First Circuit affirmed that summary judgment properly...more

9/1/2021  /  Acquisitions , Broker-Dealer , Enforcement Actions , Fees , Financial Industry Regulatory Authority (FINRA) , Mergers , Registration Requirement , Securities and Exchange Commission (SEC) , Summary Judgment , Unregistered Brokers
1 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide