Steven Phillips

Aug 20, 2024 | mondaq.com | Steven Phillips |Andrew Sherwood

For securities industry employers, Financial Industry Regulatory Authority (FINRA) disciplinary actions and fines can be costly. FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory focus: (1) electronic communications platforms; (2) outside business activities; and (3) social media influencer programs. These disciplinary actions, described below with reference to FINRA's allegations, provide lessons for industry employers.

Aug 19, 2024 | jdsupra.com | Steven Phillips |Andrew Sherwood

For securities industry employers, Financial Industry Regulatory Authority (FINRA) disciplinary actions and fines can be costly. FINRA disciplinary actions in the first half of 2024 show three areas of significant regulatory focus: (1) electronic communications platforms; (2) outside business activities; and (3) social media influencer programs. These disciplinary actions, described below with reference to FINRA’s allegations, provide lessons for industry employers.

Aug 17, 2024 | natlawreview.com | Steven Phillips |Andrew Rennick |Simone Francis |Jamie Haar

Well, folks, it’s Blake Landis, one of Troutman Amin’s newest additions, who will give you the latest scoop. It looks like Jeg’s Automotive LLC has drifted into some legal hot water with a filing by LawHQ. You know about LawHQ, right? The innovative app aims to give the TCPA some heat by letting users turn unwanted calls and texts into lawsuits with just a swipe. I’m not talking about Bumble, Hinge, or Tinder either (don’t ask me how I know those apps).

Jun 12, 2023 | jacksonlewis.com | Bylined article |Steven Phillips

Steven Phillips authors "Minnesota Poised to Ban Noncompete Agreements," published by SHRM.

Jun 12, 2023 | jacksonlewis.com | Bylined article |Steven Phillips

Steven Phillips authors "Minnesota Poised to Ban Noncompete Agreements," published by SHRM.