Is there a legal ethics rule that no lawyer ever has been sanctioned for having violated? The answer to that question is “no,” but because ABA Model Rule 2.1 comes very close, it is routinely ...

State securities regulators are being pulled in different directions on their proposal to help harmed investors obtain award payments when they win arbitration cases. Generally, the financial industry ...

We recently had occasion to review Model Rule 1.6, the rule governing attorney-client confidentiality issued by the American Bar Association (ABA), and to compare it with the version adopted by New ...

Financial advisors are voicing strong support for a proposed state-level rule that would restrict certain professionals in wealth management from adopting the "advisor" title. Processing Content But ...

Big-name firms are pressing the North American Securities Administrators Association to withdraw proposed revisions to its model rules for broker/dealer conduct. “The Project Group and the ...