
Writings by Angela A. Turiano
Angela primarily focuses her practice on handling securities, regulatory and employment litigation matters. She routinely represents financial institutions and their representatives and advisors in customer and employment arbitrations and litigation, as well as regulatory inquiries and enforcement actions.

Client Alert
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Common Examples of Breach of Fiduciary Duty That Result in Litigation
Many types of fiduciary relationships can arise in the business world. Examples include the relationship between a trustee and beneficiary, investment advisor and client, principal and agent, corporate director and shareholder, and attorney and client. Understanding fiduciary duties—what they are, how to uphold them, and what happens if they are breached — is imperative to fostering […]
Author: Angela A. Turiano

FinCEN Registration Process
The Bank Secrecy Act (BSA) requires certain businesses to register with the U.S. Treasury Department’s Financial Crimes Enforcement Network (FinCEN). Money services businesses (MSBs) must comply with the BSA requirements applicable to financial institutions as well as the specific requirements applicable to MSBs, including FinCEN registration. FinCEN Registration Process: Who Needs to Register with FinCEN? […]
Author: Angela A. Turiano

How Will the Supreme Court’s Jarkesy Decision Impact SEC Enforcement?
The Securities and Exchange Commission’s (SEC) enforcement strategy recently took a significant hit from the U.S. Supreme Court. In SEC v. Jarkesy, 603 U.S. ____ (2024), the Court held that when the SEC seeks civil penalties against a defendant for securities fraud, the Seventh Amendment entitles the defendant to a jury trial. Accordingly, such actions must […]
Author: Angela A. Turiano

How to Conduct an Effective Internal Business Investigation
Internal investigations play a pivotal role in maintaining a productive workplace and reducing a business’s potential liability. However, to reap these benefits, it is equally important to know how to write a factual, solid, representative report of an internal investigation that will withstand scrutiny and provide appropriate information for future reference in a litigation or […]
Author: Angela A. Turiano

Why Would I Get a Letter from the Office of the Attorney General?
If you are asking the question, “Why would I get a letter from the Office of the Attorney General,” it is imperative to take immediate action. A letter from the Office of the Attorney General is often the first indication that you or your business may be the target of a federal investigation. Given the […]
Author: Angela A. Turiano

FINRA Rule 3110 Explained
Known as the “Supervision Rule,” FINRA Rule 3110 requires brokerage firms to establish, maintain, and enforce a system to supervise the activities of their associated persons. The rule stipulates that the system of supervision should be reasonably designed to achieve compliance with all applicable regulations established by the Financial Industry Regulatory Authority (FINRA) and the […]
Author: Angela A. Turiano

Is Insider Trading a Felony? Legal Insights
For corporate executives and others wondering “Is insider trading a felony,” the short answer is yes. Insider trading violations are often criminally prosecuted as felonies. Accordingly, the penalties can be extremely serious, leading not only to professional and financial ruin but also significant jail time. Understanding Insider Trading Insider trading is the trading of a […]
Author: Angela A. Turiano
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