In Seyfarth’s seventh installment of the 2022 Trade Secrets Webinar Series, Seyfarth partners Jeremy Cohen and Kevin Mahoney focused on trade secret and client relationship considerations in the banking and financial services industry.
As a conclusion to this webinar, we compiled a summary of takeaways:
The Financial Industry Regulatory Authority (FINRA) recently issued some expectations/guidance to industry members on FINRA’s expectations when a broker leaves for another firm. Specifically, on April 5, 2019, FINRA issued Regulatory Notice 19-10, which instructs/reminds FINRA member firms to: (1) promptly and clearly communicate to customers how their accounts will continue to be serviced when the broker servicing the customer leaves for another firm; and (2) if requested by the customer, provide customers with timely and complete answers, if known, to questions about a departing broker.
Continue Reading FINRA Issues Guidance on the Handling of Customers When a Broker Leaves a Firm
Please join us for a one-hour CLE webinar on Wednesday, March 20, 2019, at 1:00 p.m. Eastern / 12:00 p.m. Central / 10:00 a.m. Pacific.
On March 20, 2019, at 12:00 p.m. Central Time, in Seyfarth’s second installment of its 2019 Trade Secrets Webinar Series, Seyfarth attorneys will focus on trade secret and client relationship considerations in the banking and
Continue Reading Upcoming Webinar! Protecting Confidential Information and Client Relationships in the Financial Services Industry
In Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz focused on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members. In addition, the panel covered what to do if trade secrets are improperly
Continue Reading Webinar Recap! Protecting Confidential Information and Client Relationships in the Financial Services Industry
On Tuesday, March 27, in Seyfarth’s second installment in its 2018 Trade Secrets Webinar Series, Seyfarth attorneys Scott Humphrey, Erik Weibust, and Marcus Mintz will focus on trade secret and client relationship considerations in the banking and financial services industry, with a particular focus on a firm’s relationship with its FINRA members.
The panel will address the following topics:
On Tuesday, August 26, 2014 at 12:00 p.m. Central, Seyfarth attorneys Scott Humphrey, Jason Stiehl and Rebecca Woods will present the sixth installment in its series of 2014 Trade Secret Webinars. They will focus on trade secret and client relationship considerations in the banking and finance industry, with a particular focus on a firm’s relationship with its FINRA members. Topics
Continue Reading Upcoming Webinar: Protecting Confidential Information and Client Relationships in the Financial Services Industry
Occasionally, you may need emergency relief against a former employee who has absconded with a client list, your confidential information, and the clients themselves. If you are very unlucky, you may need to get a TRO against his new employer as well. If you, the former employee, and the new employer are all required to arbitrate
Continue Reading How Do I Get a TRO Against a Former Employee If Arbitration in FINRA Is Mandatory?
Please join us for a complimentary webinar entitled Protecting Confidential Information and Client Relationships in the Financial Services Industry on May 23rd at 12:00 p.m. – 1:00 p.m. c.s.t.
The fourth webinar of the 2012 series will focus on trade secret and client relationship considerations in the banking and finance industry, with a particular focus on a firm’s relationship with
Continue Reading Protecting Confidential Information and Client Relationships in the Financial Services Industry Webinar
In Seyfarth’s fifth installment in its series of 2013 Trade Secret Webinars, on Thursday May 23, 2013 at 12:00 p.m. Central Time, Seyfarth attorneys Scott Humphrey, Daniel Lanciloti, and Jason Stiehl will focus on trade secret and client relationship considerations in the banking and finance industry, with a particular focus on a firm’s relationship with its FINRA members. Topics
Continue Reading Upcoming Webinar: Protecting Confidential Information and Client Relationships in the Financial Services Industry
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The fourth webinar of the 2012 series will focus on trade secret considerations in the banking and finance industry, including prosecuting claims against former employees who are FINRA members. Topics will include:
