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Department of Labor (DOL) Cease and Desist Enforcement Actions

Bricker Graydon LLP

Labor Updates Through the First 50 days of the Trump Administration

Bricker Graydon LLP on

It has been a busy start to President Trump’s second term in office. For some, if not most employers, it can be difficult to keep up as new Executive Orders, mandates and press releases seem to be issued daily. Here are some...more

Broker-Dealer Compliance + Regulation

First State Charges Broker-Dealer in Connection with Violations of DOL Fiduciary Rule

On February 15, 2018, the Enforcement Section of the Massachusetts Securities Division (the “Division”) of the Office of the Secretary of the Commonwealth charged a registered broker-dealer (the “Broker-Dealer”) that operated...more

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