Client Alert

The Financial Industry Regulatory Authority, Inc. recently issued a report providing general observations, commentary and descriptions of effective practices in the area of broker-dealer firms’ conflicts management practices. Conflicts of interest are a FINRA and Securities and Exchange Commission priority and have been addressed through a variety of rulemaking, oversight and enforcement action efforts.

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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