• Services
  • Attorneys
  • Media & Insights
  • Online Payment
Results may vary depending on your particular facts and legal circumstances. No aspect of this advertisement has been approved by the Supreme Court of New Jersey. A description of the selection methodology can be found here.
  • Services
  • Attorneys
  • Media & Insights
  • About Us
  • Delivering Value
  • Diversity & Inclusion
  • Meritas
  • Contact Us
  • Online Payment
    A
    Alternative Dispute ResolutionAntitrust & Trade RegulationAppellate Practice
    B
    Banking & Financial ServicesBankruptcy, Creditors’ Rights, and Financial RestructuringBeer LawBusiness Law
    C
    Cannabis LawConstruction LawCooperative and Condominium Law (Co-op & Condo)Criminal Defense
    E
    Economic Development LawElder Care & Special Needs LawElectronic Discovery ("E-Discovery")Environmental LawERISA & Employee BenefitsEstate Planning and Administration & Wealth PreservationExecutive Compensation and Employment Strategies
    F
    Food, Beverage & HospitalityFranchise Law
    H
    Health Care & Life SciencesHealth Care ProvidersHigher EducationHospitals and Health Networks
    I
    ImmigrationInsurance CoverageIntellectual PropertyIntellectual Property Litigation, Arbitration, and Dispute ResolutionIntellectual Property Portfolio Strategy, Management & LicensingInternational BusinessInternet Law
    L
    Labor & EmploymentLiquor Law, Licensing, Manufacturing, and DistributionLitigation
    M
    Media Law & Creative Economy PracticeMergers & AcquisitionsMunicipal Law
    N
    Non-Profit Law
    P
    Patent Preparation and ProsecutionPharmaceutical / Medical Devices / Pharma ServicesProducts and Consumer Liability DefenseProfessional LiabilityPublic Utilities
    R
    Real Estate, Finance, and Land Use
    S
    SecuritiesSolar Energy
    T
    TaxationTelecommunicationsTrademark & Copyright Protection & Enforcement
    V
    Venture Tech & Emerging Growth Companies
    W
    White Collar Investigations & DefenseWorkers’ Compensation
    • New Jersey
    • New York
    • Pennsylvania
    • Blogs
    • Articles
    • Podcasts
    • COVID-19 Resources
    Blogs > Biz Law Blog

    Biz Law Blog

    September 2, 2021
    Which Side Are You On? Municipal Broker/Dealer Takes Both Sides
    August 12, 2021
    Collateral Damage: SEC Sanctions “Varsity Blues” Parent
    May 20, 2021
    Too Much Bother: Broker/Dealer Affiliate of An Insurer Catering to Retirement Plans
    May 11, 2021
    Friends and Family Fraud: LLC Does It
    April 20, 2021
    Red Flags and SARs: The SEC Warns Broker/Dealers on AML
    February 9, 2021
    Inciting to Rupture: Keith Gill and the GameStop Surge
    February 4, 2021
    Tracking Treasury Trading: The Fed to Collect the TRACEs
    January 14, 2021
    Taming the Elephants: SEC Jumbo Trader Risk Alert
    December 15, 2020
    When the CCO Is Not Compliant: Failure To Have Independent Testing of Broker/Dealer AML Compliance
    December 8, 2020
    Meeting Specified Standards: the SEC’s OCIE Assesses Compliance
    November 19, 2020
    Credential Stuffing: Cyber Intrusions Into Client Accounts of Broker/Dealers and Investment Advisors
    November 5, 2020
    The European Stock Markets: Still at Sixes and Sevens
    September 8, 2020
    SEC Seeks to Increase the Security of the Data on the Consolidated Audit Trail National Market System
    July 16, 2019
    Research Reports by Broker/Dealers – FINRA Catches Up
    March 8, 2019
    Broker/Dealer Research Reports – Mutual Funds, ETFs, and Business Development Companies

    Can't find what you're looking for?

    Contact us

    Helpful links

    • About Us
    • News
    • Services
    • Blogs
    • Attorneys
    • Articles
    • (COVID-19)
    • Award Methodology
    • Events
    • Join our Team
    Connect
    Online Payment

    Connect with Us

    • LinkedIn
    • Facebook
    • Twitter
    • Instagram
    • Youtube

    Join our growing team

    We are looking for quality attorneys to help us do more for our clients. At Norris McLaughlin, each attorney has the same opportunity to succeed whether you’re at the beginning of a career or pinnacle of the profession.

    Learn More

    Subscribe to our content

    Receive timely legal information delivered to your inbox

    This field is for validation purposes and should be left unchanged.
    © , Norris McLaughlin, P.A., All Rights Reserved. Attorney Advertising.
    VIEW OUR DISCLAIMER,  TERMS OF USE,  AND PRIVACY POLICY

    We use cookies to ensure that we give you the best experience on our website. If you continue to use this site we will assume you consent to our cookie policy. Learn more