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Rafael Novales

Articles

DOL Independent Contractor Rule Debated

DOL Independent Contractor Rule Debated

April 21, 2023

The Department of Labor’s recent proposal regarding the classification of independent contractor rules was recently debated during a hearing of...

FINRA Fines Barclays Capital $2.5 Million

FINRA Fines Barclays Capital $2.5 Million

April 20, 2023

The Financial Industry Regulatory Authority censured and fined Barclays Capital $2.5 million for failing to report, or inaccurately reporting, over-the-counter...