August 14th, 2017
Could FINRA do more to inform the public about business risk?Background screening is all about assessing the risk of doing business with someone. A recent article by Reuters says that a leading financial regulator is withholding from public view potential red-flag data about brokerage firms that could be helpful to investors and others who are gauging risk. The news service reported that the Financial Industry Regulatory […]
July 25th, 2017
Enforcing judgments in a “borderless world” is no easy featCompanies and individuals anticipating a battle to collect what they’re owed by adversaries should envision their fight as being divided into three phases: before, during, and after litigation. That is one of the observations made by Ian Casewell, co-head of the Mintz Group’s asset-tracing group and head of its London office, in an article in […]
July 25th, 2017
Finding red flags is useless if the rules prevent you from taking actionThe pilot of a hot-air balloon that crashed in Texas, killing 15 passengers and himself, was a walking red flag. Alfred “Skip” Nichols had been convicted five times for DWI and three times for drug violations, and was on valium and the painkiller oxycodone when the accident occurred, according to a recent National Transportation Safety […]
Insights & Strategies
