Scarinci Hollenbeck, LLC
The Firm
201-896-4100 info@sh-law.comFirm News
Partner Paul Lieberman Quoted In ACA Insights Regarding Third-Party Transaction Fees
Author: Scarinci Hollenbeck, LLC
Date: April 7, 2017
Key Contacts
Back
Stifel, Nicolaus & Co. is an advisory firm and broker-dealer based in St. Louis that recently came to the attention of the Securities and Exchange Commission. Stifel accepted a $300,000 fine from the SEC to settle allegations the firm failed to disclose to clients the need to pay transaction fees to third-party brokers.
ACA Insights, a weekly newsletter for investment management legal and compliance professions, ran a story on the Stifel case and its implications. Scarinci Hollenbeck partner Paul Lieberman was quoted in the article. An excerpt of Mr. Lieberman’s comments and a link to the entire newsletter—where the Stifel story is highlighted in yellow—are below.
EXCERPT
“Investment advisory representatives should be knowledgeable about how their firms and the sub-advisers they work with, conduct these sales to make sure they are handled in accordance with the agreements with the clients and regulatory requirements”
– Paul Lieberman, ACA Insights, April 3, 2017
No Aspect of the advertisement has been approved by the Supreme Court. Results may vary depending on your particular facts and legal circumstances.
Related Posts
See all
SH Partner Angela Turiano Named Director of Legislative Affairs for SHRM Princeton
Congratulations Angela Turiano on appointment as Director of Legislative Affairs for SHRM Princeton April 17, 2025 – Little Falls, NJ – Scarinci & Hollenbeck, LLC congratulates Partner Angela Turiano on her appointment as Director of Legislative Affairs for SHRM Princeton. Along with serving as a member of SHRM Princeton’s leadership team, Angela will monitor pending legislative, regulatory, […]
Author: Scarinci Hollenbeck, LLC
Brittany P. Tarabour Nominated as Three-Year Trustee of the Monmouth Bar Association
Congratulations Brittany P. Tarabour for Nomination as Three-Year Trustee of the Monmouth Bar Association Red Bank, NJ – April 9, 2025 – Scarinci & Hollenbeck, LLC proudly congratulates Brittany P. Tarabour on her nomination by the Monmouth Bar Association to serve as a Three-Year Trustee. Founded in 1908, the Monmouth Bar Association is dedicated to […]
Author: Scarinci Hollenbeck, LLC
Bloomberg Law Podcast Discusses Dua Lipa IP Victory with Ron Bienstock
Scarinci Hollenbeck Partner Ron Bienstock Featured on Bloomberg Law Podcast to Discuss Dua Lipa Copyright Infringement Lawsuits Little Falls, NJ – April 8, 2025 – Scarinci & Hollenbeck, LLC Partner and Chair of the firm’s Intellectual Property and Entertainment & Media departments Ronald S. Bienstock was recently featured on the Bloomberg Law podcast to discuss […]
Author: Scarinci Hollenbeck, LLC
NJ Super Lawyers Names Scarinci Hollenbeck Attorneys
Scarinci Hollenbeck Attorneys From Little Falls and Red Bank Named to 2025 New Jersey Super Lawyers List Little Falls, NJ – April 2, 2025 – Scarinci & Hollenbeck, LLC attorneys from both NJ offices were named to the 2025 New Jersey Super Lawyers and Rising Stars list. Each attorney was chosen in recognition of their […]
Author: Scarinci Hollenbeck, LLC
Dan McKillop to be Honored by Patriots Path Council of Scouting America
Little Falls, NJ – March 26, 2025 – Scarinci & Hollenbeck, LLC is pleased to announce that Daniel T. McKillop, Partner and Chair of the firm’s Cannabis Law practice group, will be recognized by the Patriots’ Path Council of Scouting America at the 2025 Legal Services Awards Reception, which will be held on Wednesday, April […]
Author: Scarinci Hollenbeck, LLC
Business Journal NJBIZ Names Ronald S. Bienstock and William C. Sullivan, Jr. Leaders in Law
Ronald S. Bienstock and William C. Sullivan, Jr. of Scarinci Hollenbeck Recognized as 2025 Leaders in Law by NJBIZ Little Falls, NJ – March 6, 2025 – One of New Jersey’s leading business journals, NJBIZ, has recognized Ronald S. Bienstock, Partner and Chair of the Intellectual Property Group, and William C. Sullivan, Jr., Partner and […]
Author: Scarinci Hollenbeck, LLC
No Aspect of the advertisement has been approved by the Supreme Court. Results may vary depending on your particular facts and legal circumstances.
Sign up to get the latest from our attorneys!
Explore What Matters Most to You.
Consider subscribing to our Firm Insights mailing list by clicking the button below so you can keep up to date with the firm`s latest articles covering various legal topics.
Stay informed and inspired with the latest updates, insights, and events from Scarinci Hollenbeck. Our resource library provides valuable content across a range of categories to keep you connected and ahead of the curve.