Joshua M. Hufford, Associate

Publications

10/07/20 – Newsletter

Jonathan W. Hackbarth

Defending a FINRA Investigation to Avoid a FINRA Enforcement ActionQuarles & Brady Quarterly Securities NewsletterJonathan W. Hackbarth, Joshua M. HuffordReceiving a Rule 8210 request from FINRA. It's the moment that every broker-dealer dreads. But what many broker-dealers fail to appreciate is that what happens immediately thereafter ­- from the first contact with FINRA's enforcement staff through the Wells Process... Read More

02/05/20 – Newsletter SEC Adopts New Disclosure Form CRS and Issues Official Guidance Regarding Investment Advisers’ Fiduciary Duty Quarles & Brady Quarterly Securities Newsletter Jonathan W. Hackbarth, Joshua M. Hufford

10/09/15 – Newsletter SEC Continues Focus on Cybersecurity Issues Investment Management Law Update Joshua M. Hufford

10/05/15 – Blog "SEC Announces Focus Areas for Second Round of Cybersecurity Exams of Broker-Dealers and Investment Advisers" Safe and Sound By Hoyt R. Stastney and Joshua M. Hufford