Nathan focuses his practice on securities-related litigation, Financial Industry Regulatory Authority (FINRA), the United States Securities & Exchange Commission (SEC), and state securities commission regulatory investigations and disputes.

Nathan defends brokers, broker-dealers, and investment advisors in FINRA arbitrations, SEC actions, and FINRA enforcement actions. His practice also involves advising clients on how to navigate the complex financial services regulatory environment. Nathan has been listed as an Illinois Super Lawyer Rising Star.

Today, the Public Investors Arbitration Bar Association (PIABA) published another hit piece on the expungement process.   For those of you interested, you can find it HERE.   Again and again, PIABA issues press releases and reports contending that the expungement process is broken because expungement is granted at an “alarmingly high rate.”  Let’s start with

A couple of events caught my attention this week and, since they are related, I thought I’d address them together.

On Monday, the SEC announced a proposed rule change to FINRA Rule 8312, the FINRA BrokerCheck Disclosure Rule. Rule 8312 permits FINRA to disclose certain information on BrokerCheck about registered individuals. As many of you

Yesterday, the SEC held its 2015 “National Compliance Outreach Program for Broker-Dealers.” The program was designed to “provide[] an open forum for regulators and industry professionals to share strong compliance practices and promote the exchange of ideas to develop an effective compliance structure.” In the spirit of this cooperation, SEC Chairwoman White opened the conference

Obviously, given the name of this blog, the focus is on broker-dealers, but we also have a robust practice advising RIAs and investment management companies.  In that vein, a group of attorneys working in our Cleveland office published a Client Alert today that discusses a recent Investment Management Guidance Update published by the SEC.

The