Recent Blog Posts

The Date for Full Compliance with the SEC’s New Marketing Rule is Rapidly Approaching! Is Your Firm Ready?

By on October 5th, 2022

Posted in Securities Compliance & Arbitration

Background of the New Marketing Rule As most Registered Investment Adviser firms (“RIAs” or “Advisers”) are aware, the Securities and Exchange Commission (SEC) adopted amendments to existing Rule 206(4)-1 (the advertising rule), under the Investment Advisers Act of 1940 (the “Act”), which modernized rules relative to RIA advertising and solicitation… Continue reading →

Electronic Signatures in Securities Transactions

By on August 26th, 2022

Posted in Business & Commercial Law, Investment Management & Securities

As we continue to assist Advisors during examinations conducted by the United States Securities and Exchange Commission (the “SEC”), we have noticed questions related to the Advisors’ use of electronic signatures. Earlier this week, we provided guidelines for Advisors using electronic signatures in securities transactions. The legality of electronic signatures… Continue reading →

To Sign or Docu-Sign, That is the Question

By on August 24th, 2022

Posted in Business & Commercial Law, Investment Management & Securities

On November 17, 2020, the U.S. Securities and Exchange Commission (the “SEC”) adopted amendments to Rule 302(b) of Regulation S-T that permits individuals to sign the signature page or other document (“Authentication Document”) with an electronic signature. The amendment allows flexibility in complying with the Authentication Document requirements by providing… Continue reading →

Beware of Time Limits for Homeowners to Sue Their Insurance Carriers

By on August 2nd, 2022

Posted in Business & Commercial Law

Most homeowner’s policies issued in New Jersey contain statutes of limitation for filing a lawsuit against an insurance carrier where the homeowner (insured), disagrees with the insurance carrier’s claim payment amount, or refusal to make any payment on a claim. In a recent unpublished United States District Court opinion, Turkmany… Continue reading →

Is a Tuesday Morning Chapter 22 Bankruptcy Imminent?

By on July 25th, 2022

Posted in Business & Commercial Law

Tuesday Morning Corporation, the discount, closeout home retailer, could be filing for Chapter 11 bankruptcy, reports both Bloomberg and Seeking Alpha. Shares of the company fell nearly 30% last week. The company has struggled with supply chain bottlenecks. The company previously emerged from Chapter 11 bankruptcy in December 2020, where it shed about… Continue reading →

How Do I Get a Guardianship

By on July 19th, 2022

Posted in Business & Commercial Law

The purpose of this article is to discuss the general process for being appointed the guardian of a loved one or other family member. The process can be simple or complicated depending upon a multitude of factors. This article will discuss the general process; whereas future articles will explore issues… Continue reading →

Workplace COVID Testing Must Be “Business Necessity” United States Equal Opportunity Commission Says

By on July 18th, 2022

Posted in Business & Commercial Law

The United States Equal Opportunity Commission (“EEOC”) enforces workplace anti-discrimination laws, including the Americans with Disabilities Act (“ADA”) and the Rehabilitation Act. On July 12, 2022, the EEOC announced that employers should take more factors into consideration when choosing whether to screen employees for Covid-19. Now, “employers will need to… Continue reading →

Multiple locations to better serve your needs—

Princeton, NJ

993 Lenox Dr, Building 2
Lawrenceville, NJ 08648
Phone: 609.896.9060
Secondary phone: 800.535.3425
Fax: 609.896.0629
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Marlton, NJ

40 Lake Center, 401 NJ-73, Suite 130
Marlton, NJ 08053
Phone: 856.874.4443
Secondary phone: 888.241.7424
Fax: 856.874.0133
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Yardley, PA

777 Township Line Road, Suite 120
Yardley, PA 19067
Phone: 267.907.9600
Fax: 267.907.9659
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New York, NY

5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
Phone: 800.535.3425
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Philadelphia, PA

The Bellevue 200 S Broad St #600
Philadelphia, PA 19102
Phone: 267.907.9600
Secondary phone: 800.535.3425
Fax: 215.564.6245
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Bridgeton, NJ

78 W Broad St
Bridgeton, NJ 08302
Phone: 856.874.4443
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