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FINRA’s Exam Guidance Is A Big Yawn

From Ulmer’s Broker-Dealer Law Corner Blog By Alan M. Wolper As promised, FINRA has released its first Report outlining common findings from its examinations, in an effort to help member firms comply with the rules and, presumably, avoid problems that other firms encountered. A noble idea, especially for an entity not exactly known (at…

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Immigration Expert David Leopold Quoted in Recent News Articles

Ulmer in the News Topic: Immigration Attorney: David W. Leopold David Leopold, Chair of Ulmer’s Immigration Law group, has recently been in the news. On November 26, David contributed an opinion article to The Hill. David’s article, “A vote to pass year-end budget is a vote to deport Dreamers” can be read…

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Ulmer Represents Woolpert in Successful Recapitalization Deal

Ulmer is pleased to announce that it recently represented Woolpert Inc., one of the nation’s most prominent architectural, engineering and geospatial firms, in a minority recapitalization with Long Point Capital. The complex transaction comes at an ideal time for Woolpert as the firm develops new strategy and investment opportunities and…

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FINRA Examiners Are Like A Box Of Chocolates . . .

From Ulmer’s Broker-Dealer Law Corner Blog By Michael A. Gross Michael discusses the differences in examiners — and, potentially — examination results from District Office to District Office. Remember, however, that such differences aren’t supposed to exist! That’s why the Office of Disciplinary Affairs exists. I suppose the question is whether…

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Crisis Management - Professional Conduct CLE

A crisis can happen and leaders need to prepare themselves for the court of public opinion On December 6, Ulmer is hosting a fast-paced talk about Crisis Management led by veteran crisis communications and media specialist Bruce Hennes, from Hennes Communications. Held in Ulmer's Cincinnati office, this professional conduct CLE…

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