Scarinci Hollenbeck, LLC
The Firm
201-896-4100 info@sh-law.comFirm News
Author: Scarinci Hollenbeck, LLC
Date: April 7, 2017
The Firm
201-896-4100 info@sh-law.comStifel, 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.
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
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
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
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
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
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
No Aspect of the advertisement has been approved by the Supreme Court. Results may vary depending on your particular facts and legal circumstances.
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!
Sign up to get the latest from the Scarinci Hollenbeck, LLC attorneys!