Alternative Dispute Resolution Blog Posts

  • FTC Bans Employment Non-Competes Nationwide

    April 24, 2024

    After a year of uncertainty, the FTC has issued a Final Rule banning employment non-competes nationwide. The Commission has determined that non-competes themselves constitute an unfair method of competition in violation of Section 5 of the FTC Act. Citing to wage suppression, stifling innovation, and inhibiting start-up creation as factors, the FTC’s sweeping Rule is ...

  • DOL Publishes Final QPAM Exemption Amendment

    April 23, 2024

    On April 3, 2024, the U.S. Department of Labor (DOL) published a final amendment to Prohibited Transaction Class Exemption 84-14. The amendment will become effective June 17, 2024. Registered investment advisers that manage accounts that are considered “plan assets” under the Employee Retirement Income Security Act of 1974 (ERISA) and that are subject to the ERISA ...

  • Express Fast Tracks Chapter 11 Bankruptcy Filing

    April 23, 2024

    Express, Inc., the fashion mall retailer, filed for Chapter 11 bankruptcy protection in the District of Delaware Bankruptcy Court, docket #24-10831 (KBO) on April 22, 2024. This is the second retailer bankruptcy filing that our office has called since publishing our Retailers to Watch for a Possible Bankruptcy Filing in 2024 article, posted on March 1, ...

  • SEC Adopts Amendments to Modernize Internet Investment Adviser Registration Exemption

    April 16, 2024

    Background On March 27, 2024, the Securities and Exchange Commission adopted amendments to modernize the rule for internet investment advisers relying on the exemption that qualifies them for SEC registration as smaller investment advisers. Investment advisers generally need to meet the assets under management threshold, advise a registered investment company, or qualify for an exemption to ...

  • Five Investment Advisers Charged by SEC for Marketing Rule Violations

    April 16, 2024

    On April 12, 2024, the Securities and Exchange Commission announced settled charges against five registered investment advisers for violations of the Marketing Rule. The firms have agreed to settle and pay a combined $200,000 in penalties, as well as cease and desist from violating the charged provisions, and to implement corrective actions to their compliance ...

  • 99 Cents Only Is Not Enough to Avoid Chapter 11 Bankruptcy

    April 8, 2024

    Number Holdings, Inc. the parent company of 99 Cents Only Stores LLC (“99 Cents” or the “Company”), an extreme value retail store operator, along with several affiliates, filed for Chapter 11 bankruptcy protection in the District of Delaware Bankruptcy Court, docket #24-10719 (JKS) on April 8, 2024. The Company is headquartered in Tustin, California and operates ...

  • $6.5 MILLION TEXTING PENALTY: Investment Adviser Charged by SEC for Recordkeeping Failures

    April 5, 2024

    On April 3, 2024, the Securities and Exchange Commission announced charges against a registered investment adviser for recordkeeping failures regarding personal device communications and pre-clearance of securities transactions in employees’ personal accounts. The firm was charged and agreed to pay a $6.5 million dollar penalty and to implement improvements to its compliance policies and procedures. ...

  • Types of Guardianships in New Jersey

    April 4, 2024

    If you are considering seeking a guardianship of an individual or have been named as an interested party to such an application, it’s crucial that you understand the types of guardianship that exist in the State of New Jersey. This knowledge will empower you to make informed decisions. In general, there are two main types ...

  • Road Safety Tips for Motorists, Cyclists, and Pedestrians

    March 26, 2024

    As spring arrives and the weather is warming up, more and more people are spending time outdoors. After a particularly cold winter this past year, it’s refreshing to finally enjoy the outdoors and do some fun things we missed out on over the past few months. This is an excellent time to remind all drivers ...

  • SEC Settles Charges Against Investment Advisers for Misleading AI Claims

    March 21, 2024

    Background On March 18, 2024, the Securities and Exchange Commission announced settled charges against two SEC registered investment advisers for making false and misleading statements about their purported use of artificial intelligence (“AI”). The firms agreed to settle the SEC’s charges and pay $400,000 in total civil penalties. Cause of Action One firm’s charges arose from four years ...

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Hamilton, NJ

100 American Metro Boulevard
Hamilton, NJ 08619
Phone: 609.896.9060
Secondary phone: 800.535.3425
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40 Lake Center, 401 NJ-73, Suite 130
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777 Township Line Road, Suite 120
Yardley, PA 19067
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5 Pennsylvania Plaza 23rd Floor
New York, NY 10001
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Philadelphia, PA

The Bellevue 200 S Broad St #600
Philadelphia, PA 19102
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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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