Recent Blog Posts

Understanding the Enhanced Regulation S-P Requirements

By Thomas Kellerman & The Securities Compliance Team on June 10th, 2024

Posted in Investment Management & Securities

On May 16, 2024, the Securities and Exchange Commission adopted amendments to Regulation S-P, the regulation that governs the treatment of nonpublic personal information about consumers by certain financial institutions. The amendments apply to broker-dealers, investment companies, and registered investment advisers (collectively, “covered institutions”) and are designed to modernize and… Continue reading

Navigating the New Compliance Landscape: Understanding Rule 14Ad-1 and Form N-PX Filing

By Ronald Minsky & The Securities Compliance Team on June 10th, 2024

Posted in Investment Management & Securities

New Rule 14Ad-1 takes effect on July 1, 2024, with filing of Form N-PX due on August 31, 2024, for votes during the July 1, 2023 to June 30, 2024 reporting period. The Rule requires all institutional investment managers that are 13F filers to report say-on-pay votes on the new… Continue reading

Ensuring Compliance: The 2023 DOL Retrospective Review

By Thomas Kellerman & The Securities Compliance Team on June 10th, 2024

Posted in Investment Management & Securities

The Department of Labor (“DOL”) continues to require the completion of a Retrospective Review. The Retrospective Review (the “Review”) requirement of Prohibited Transaction Exemption 2020-02 (the “PTE”) is designed to assist in detecting and preventing violations of, and achieving compliance with, the Impartial Conduct Standards and the policies and procedures… Continue reading

Navigating the Realm of Children’s Expenses When Seeking Child Support: A Comprehensive Guide

By Jennifer Millner on June 4th, 2024

Posted in Divorce & Family Law

Raising children is perhaps one of the most rewarding, yet financially demanding, journeys. From infancy to adulthood (and sometimes thereafter), parents face a multitude of expenses that evolve as their children grow. When parents break up, it is crucial to understand these expenses for financial planning. Child support in New… Continue reading

Court Orders Video Recording of Neuropsychological Examination

By Bruce H. Stern on June 4th, 2024

Posted in Brain Injury

In the case of Cherelle Matchet v. Karen Nelson-Hughes, Civil No. 2022-43 (USDC Virgin Islands 5/6/24), the Federal District Court addressed whether the plaintiff’s neuropsychological examination by the defendant’s expert should be videorecorded. The plaintiff requested video recording to ensure the reliability and accuracy of the examination, while the defendant… Continue reading

United States Senate Judiciary Committee Advances Protecting Older Americans Act Bill

By Scott I. Unger on May 24th, 2024

Posted in Employment Law

The United States Senate Judiciary Committee, with bipartisan support, has advanced the Protecting Older Americans Act Bill. The bill, which was introduced by Kirsten Gillibrand, D-N.Y., and Lindsey Graham, R-S.C., heads to the full United States Senate. If enacted, this legislation would invalidate mandatory arbitration clauses in cases where an… Continue reading

Do You Have a Hoverboard? Be Careful of Its Lithium-Ion Battery

By Domenic B. Sanginiti, Jr. on May 17th, 2024

Posted in Exploding Batteries, Product Liability

If you have purchased an EVERCROSS EV5 hoverboard, the U.S. Consumer Product Safety Commission (CPSC) recommends that you immediately stop using them due to risk of fire. The hoverboards in question are manufactured in China by Jinhua Smart Electric Technology, Ltd., and are sold on the internet through common retailers… Continue reading

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Hamilton, NJ

100 American Metro Boulevard
Hamilton, NJ 08619
Phone: 609.896.9060
Secondary phone: 800.535.3425
Fax: 609.896.0629
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Philadelphia, PA

One Liberty Place, 1650 Market St., Suite 3600
Philadelphia, PA 19103
Phone: 267.907.9600
Secondary phone: 800.535.3425
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Marlton, NJ

40 Lake Center, 401 NJ-73, Suite 130
Marlton, NJ 08053
Phone: 856.874.4443
Secondary phone: 888.241.7424
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Yardley, PA

777 Township Line Road, Suite 120
Yardley, PA 19067
Phone: 267.907.9600
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New York, NY

5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
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Bridgeton, NJ

78 W Broad St
Bridgeton, NJ 08302
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