Reish & Reicher | Practice Areas


		The Financial Services Group of Reish & Reicher provides comprehensive counseling to broker-dealers, registered investment advisers, insurance companies, hedge funds and private equity funds pertaining to a variety of matters, including ERISA, SEC and FINRA compliance. We also represent financial services firms and their representatives in litigation and regulatory enforcement proceedings. Drawing on our attorneys’ expertise across all aspects of finance, tax, accounting, securities and ERISA-related matters, we are able to provide our clients with holistic solutions designed to detect and prevent prospective exposure. Specifically, our financial services attorneys provide the following services: • SEC Compliance and RIA Consulting • FINRA Compliance & Broker-Dealer Regulation • FINRA Customer Arbitrations & Member-to-Member Disputes • DOL, SEC and FINRA Examinations • DOL Regulation & ERISA Compliance • Fiduciary and Compliance Training • Service Provider Due Diligence • Wells Submissions • Corporate Raiding Disputes • Mergers & Acquisitions

The Center for Due Diligence’s
2009 Advisor Conference
October 5-7, 2009—Scottsdale, AZ
Two of the firm’s partners will be speaking at the CFDD 2009 Advisor Conference on October 5th-7th in Scottsdale, Arizona. [Read More]

National Society of Compliance Professionals Conference
October, 6, 2009—Philadelphia, PA
Jason Roberts will present "Advanced ERISA: The Pension Protection Act of 2006- Its Impact on Advisers and Brokers" and "Fiduciary Compliance and ERISA Plan Governance."

Transamerica Retirement Services Regional Sales Conference
August 20, 2009—Chicago, IL
Jason Roberts will present "Washington/Industry Update."

LPL National Sales Conference
August 15, 2009—San Diego
Jason Roberts will present a pre-conference workshop.

Attorneys
Bruce L. Ashton	Stephen P. Wilkes
C. Frederick Reish

100 Most Influential People in Defined Contribution
The 401kWire recently determined the 401(k) Industry’s 2009 Hundred Most Influential Persons. Fred Reish was ranked 2nd and Bruce Ashton was ranked 48th most influential person in the 401(k) industry. [Read more]
PLANSPONSOR's 15 Legends of the Retirement Industry
PLANSPONSOR acknowledges the contribution of 15 "Legends," individuals who have in the past decade and a half, made a lasting contribution to the nation's retirement security. They are leaders, innovators, partners—some have challenged the status quo, others have laid the foundation for a new one, and still others have helped negotiate the period(s) in between.

Adviser Report
Our Adviser Report newsletter is written to assist retirement plan advisors, such as investment advisors, financial advisors, and consultants in their work with plan sponsors and fiduciaries.
Financial Services Bulletins
Bulletins with detailed discussions by our attorneys about current developments.

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