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“FINRA Set To Revise Code of Arbitration Procedure To Preclude Non-Attorneys From Representing Parties in Arbitration Cases” – New York Law Journal

12.16.2019
Robert I. Rabinowitz

The Financial Industry Regulatory Authority (FINRA), which regulates brokerage firms and their associated persons in the United States, also sponsors the largest forum for securities dispute resolution in the country. A majority of brokerage firms today require their customers to enter into an agreement which, among other things, requires that […]

Areas of Focus: Corporate, Securities Arbitrations, Broker-Dealer & Regulatory Proceedings

“Should Extra Ballots be Counted?” – Naples Daily News

12.16.2019
David G. Muller

Q: My condominium association recently held its annual meeting and the election was quite close.  Only one vote separated the candidates for the last open director position.  The candidate that lost the election by one vote requested to review all the election materials, including the ballots.  He determined that three […]

Areas of Focus: Condo, Co-Op & HOA, Community Association Litigation & Covenant Enforcement, Corporate Representation

Becker Represents GreenVision Acquisition Corp. on $57M NASDAQ SPAC IPO

11.22.2019
Jie Chengying Xiu

New York, NY – November 21, 2019 — Becker, a multi-practice commercial law firm with attorneys, lobbyists and other professionals at offices throughout the East Coast, represented client GreenVision Acquisition Corp. (NASDAQ: GRVNU) in its initial public offering of 5,750,000 units at $10.00 per unit, in an underwritten offering through […]

Areas of Focus: Securities & Corporate Finance, Broker-Dealer & Regulatory Proceedings, SEC Disclosure & Listed Company Compliance

“Can a Recalled Director Run Again?” – Naples Daily News

11.18.2019
David G. Muller

Q: I am an owner, living in a community with a homeowners’ association. I would like to know if a member of the board of directors who has been “recalled” (removed by a member vote) can run again for the board.  Our membership, following all the proper procedures outlined in […]

Areas of Focus: Condo, Co-Op & HOA, Community Association Litigation & Covenant Enforcement, Corporate Representation