Scarinci Hollenbeck, LLC, LLCScarinci Hollenbeck, LLC, LLC

Firm 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.

    Scarinci Hollenbeck, LLC, LLC

    Related Posts

    See all
    Bloomberg Law Podcast Discusses Shaquille O’Neil FTX Settlement With Ron Bienstock post image

    Bloomberg Law Podcast Discusses Shaquille O’Neil FTX Settlement With Ron Bienstock

    Bloomberg Law Podcast Discusses Shaquille O’Neil FTX Settlement With Ron Bienstock Little Falls, NJ – June 24, 2025 – Scarinci & Hollenbeck, LLC Partner and Chair of the firm’s Intellectual Property and Entertainment & Media departments Ronald S. Bienstock recently joined the Bloomberg Law podcast to discuss Shaquille O’Neal settling a class-action lawsuit over his FTX endorsement. […]

    Author: Scarinci Hollenbeck, LLC

    Link to post with title - "Bloomberg Law Podcast Discusses Shaquille O’Neil FTX Settlement With Ron Bienstock"
    Donald M. Pepe Leads Donation of Laptops to York Street Project post image

    Donald M. Pepe Leads Donation of Laptops to York Street Project

    Scarinci Hollenbeck Partner Facilitates Donation of 43 Laptops to Jersey City Organization Little Falls, NJ  – July 1, 2025 – Scarinci Hollenbeck, LLC is proud to recognize partner Donald M. Pepe’s dedication to the community by facilitating the donation of 43 new Dell laptops to the York Street Project. Don’s commitment and dedication to sourcing these […]

    Author: Scarinci Hollenbeck, LLC

    Link to post with title - "Donald M. Pepe Leads Donation of Laptops to York Street Project"
    Feedspot Names Government & Law Blog One of the Top Public Law Blogs post image

    Feedspot Names Government & Law Blog One of the Top Public Law Blogs

    FeedSpot Recognizes Donald Scarinci’s Government & Law Blog One of the Top 20 Public Law Blogs Little Falls, NJ – May 22, 2025 – Scarinci Hollenbeck, LLC is honored to share that Managing Partner Donald Scarinci’s Government & Law blog has been listed by FeedSpot.com as one of the “20 Best Public Law Blogs and […]

    Author: Scarinci Hollenbeck, LLC

    Link to post with title - "Feedspot Names Government & Law Blog One of the Top Public Law Blogs"
    Scarinci Hollenbeck's Ron Bienstock Speaks at 100th Bomb Group's 2025 Reunion post image

    Scarinci Hollenbeck's Ron Bienstock Speaks at 100th Bomb Group's 2025 Reunion

    SH Partner and 100th Bomb Group Foundation Legal Counsel Discussed The Nuremberg Trials and the Law May 21, 2025 – Little Falls, NJ – Scarinci & Hollenbeck, LLC is proud to share that partner Ronald S. “Ron” Bienstock recently spoke at the 100th Bomb Group Biennial Reunion, held May 15-18, 2025, in New Orleans. The […]

    Author: Ronald S. Bienstock

    Link to post with title - "Scarinci Hollenbeck's Ron Bienstock Speaks at 100th Bomb Group's 2025 Reunion"
    FeedSpot Names Donald Scarinci’s Constitutional Law Reporter One of the Top 100 Legal Blogs  post image

    FeedSpot Names Donald Scarinci’s Constitutional Law Reporter One of the Top 100 Legal Blogs 

    Little Falls, NJ – May 1, 2025 – Scarinci Hollenbeck, LLC is proud to share that Managing Partner Donald Scarinci’s Constitutional Law Reporter blog has been listed by FeedSpot.com as one of the “Top 100 Legal Blogs.” No Aspect of the advertisement has been approved by the Supreme Court. Feedspot, a content reader that curates websites of […]

    Author: Donald Scarinci

    Link to post with title - "FeedSpot Names Donald Scarinci’s Constitutional Law Reporter One of the Top 100 Legal Blogs "
    FeedSpot Names Donald Scarinci’s Government & Law Blog One of the Top 80 New Jersey Blogs  post image

    FeedSpot Names Donald Scarinci’s Government & Law Blog One of the Top 80 New Jersey Blogs 

    Little Falls, NJ – May 1, 2025 – Scarinci Hollenbeck, LLC is proud to share that Managing Partner Donald Scarinci’s Government & Law blog has been listed by FeedSpot.com as one of the “80 Best New Jersey Blogs and Websites in 2025.” *No Aspect of the advertisement has been approved by the Supreme Court of New […]

    Author: Donald Scarinci

    Link to post with title - "FeedSpot Names Donald Scarinci’s Government & Law Blog One of the Top 80 New Jersey Blogs "

    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.

    Let`s get in touch!

    * The use of the Internet or this form for communication with the firm or any individual member of the firm does not establish an attorney-client relationship. Confidential or time-sensitive information should not be sent through this form.

    Sign up to get the latest from the Scarinci Hollenbeck, LLC attorneys!