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7/11/2017· Securities

Expert's Corner: Selling Away - Broker-Dealer Liability for Selling Away Transactions and the Responsibility of Supervisory Personnel

By: Bob Lawson

In the securities brokerage industry, "selling-away" refers to the prohibited practice of an Associated Person effecting or soliciting the sale of securities or investment products not held or approved with whom the broker is affiliated without prior written consent. FINRA regulators have seen a steady flow of selling-away cases over the years involving registered representatives who are being targeted by issuers, promoters and marketing agents to sell their nontraditional investment products to their retail customers. In many instances, promoters of these products are marketing them as non-securities products that do not have to be sold through a broker-dealer by a registered person. In a significant number of cases, associated persons have sold these investments to their customers away from the broker-dealer and without firm approval as required by FINRA Rule 3270. Selling-away often occurs in an independent branch or a satellite office, where Associated Persons are removed from the day-to-day oversight and supervision of their brokerage firm's compliance department.

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9/21/2019· Internet Marketing

The Rise of Vaping - How Viral Marketing Techniques Might Fuel Adoption

By: Brent Coker, PhD

I was recently invited to provide informal pro-bono advice to a law firm organizing a class action lawsuit against JUUL – a supplier of vaping products. Part of their argument was the idea that JUUL were engaged in unlawful viral marketing – inciting peer pressure by using advanced marketing techniques.

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11/13/2019· Branding - Brand Management

Consumer Brand Confusion: When Might Consumers Confuse One Brand for Another?

By: Brent Coker, PhD

One common disgruntlement brands have against other brands is similarity. In the courts, brands argue that another brand is too similar, and that this causes confusion whereby consumers may believe there is an affiliation between the brands.

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10/24/2017· Branding - Brand Management

Brand Valuations: Identifying the Opportunities and Challenges

By: Brian Buss

Based on our knowledge of and ability to analyze and value businesses, valuation professionals are uniquely positioned to provide valuable information to business owners and managers regarding the financial value of their brand assets. In other words, how a company's brand assets are contributing to the company's overall financial performance. This "Special Issue" of The Value Examiner is intended to kick-start the discussion on brand valuation by identifying the opportunities and challenges in completing brand valuation assignments for our clients.

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10/29/2012· Animals

The Texas House and Senate Pass Equine Dentistry Bill

By: Bridget Brandon

On May 30, 2011, the Texas Board of Veterinary Medical Examiners became one step away from having the authority to regulate non-veterinarian equine dentists.

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4/5/2012· Animals

Protect Yourself When Buying A Horse

By: Bridget Brandon

Because the cost of a lawsuit is so steep, make sure your "horse transaction" is memorialized with a lawyer-prepared, well-written contract. The small contract prep charge will be a fraction of litigation expenses and heartbreak. If you cannot locate an equine attorney, an attorney specializing in contracts will work just fine. It always amazes me that written contracts are not demanded of every horse purchase or sale. Even on "small&qout; transactions…demand them in writing or do not do the "deal&qout;!

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9/21/2011· Animals

Owning A Horse Is A Huge Financial Investment: Get A Pre-Purchase Exam!

By: Bridget Brandon

You've decided to buy a horse and you have now located the horse of your dreams. There are a lot of emotions involved.

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8/3/2011· Animals

Law Change In California Affects How You Buy And Sell a Horse

By: Bridget Brandon

Open-ended horse deals are quickly coming to an end. Florida has a statute (Section 535.16 of the Florida Statutes) and the California Legislature recently amended a similar one that now requires written documentation for horse sales.

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12/9/2011· Animals

Screening Questions You Should Ask When Buying a Horse

By: Bridget Brandon

There are some very important preliminary questions you should always ask when buying a horse. These screening questions should be asked right up front. If at all possible, you should ask these questions initially on the phone prior to seeing the horse.

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4/7/2011· Computers

Case Scenario: Failed Insurance Agency Software Implementation

By: Brooks Hilliard

An property and casualty insurance agency acting as a managing general agent for several insurance lines sold through sub-agents throughout the United States had agreed to license a comprehensive agency management system from a developer of such software specifically developed for managing general agencies.

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