July 21, 2017

EVW Wins Ruling For Pete Rose In U.S. District Court

Martin Garbus and Joseph Johnson, on behalf of Pete Rose, sued former MLB investigator John Dowd for defamatory statements he made about Rose on Philadelphia radio

July 21, 2017

EVW Wins Defense Verdict After Two-Week Trial In U.S. District Court In Employment Discrimination Suit

Martin Garbus and Robert Gross won a defense verdict for the CEO of a New York City hospital after a two-week jury trial in the U.S. District Court for the Eastern District of New York.

July 12, 2017

FINRA Makes Rule 4530 Changes Regarding Reporting Requirements

In 2016 the DOL made changes to its fiduciary rule. Therefore, FINRA made corresponding changes in its existing Rule 4530 regarding Reporting Requirements. New Rule 4530 Reporting Requirements, became effective on June 9, 2017. It includes a new Problem Code 69 to report customer complaint information and information relating to required documents. These additions can be found under Rule 4530 (f) and (g).

July 12, 2017

EVW Represents Air Industries Group in Public Offering of Common Stock

Vince McGill and Mark Orenstein represented Air Industries Group in connection with its recently completed underwritten firm commitment public offering of 5,175,000 shares of common stock.

July 12, 2017

Eaton & Van Winkle Represents American Lung Association in Merger with Eight Chartered Associations

Brendan Marx, Mark Orenstein and Mathilde Diana represented American Lung Association, in connection with the merger of eight chartered associations.

July 10, 2017

Client Alert: FINRA Rules 3270 & 3280 Under Review

FINRA Rules 3270 (Outside Business Activities of Registered Persons) and Rule 3280 (Private Securities Transactions of an Associated Person) are being reviewed through FINRA’s public comment process. Both current Rules provide regulatory guidelines for firms to…

June 16, 2017

The Need To Stabilize FRAND…Quickly

In a recent column, I discussed the emerging storm clouds surrounding FRAND—fair, reasonable and non-discriminatory licensing rates and the need to put FRAND back on stable footing. Recent developments have only increased the importance of stability. For example…

June 9, 2017

Client Alert: What The Changes To FINRA Rule 2210 Mean

On April 25, 2017 FINRA released its new guidance for Rule 2210 (Communication with the public)…The rule includes all communications between a business and a private person when the content relates to the product or the service of a firm. Firms then have to retain records of the business communication made.

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