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Tax Deductibility of Fines by Regulators in the Financial Industry

The Tax Cuts and Jobs Act (“Act”) has significant tax implications to members of the financial industry who settle enforcement claims with their regulators. The most significant change is that fines and penalties paid to non-governmental entities that “exercise self-regulatory powers (including imposing sanctions) in connection with a qualified board or exchange (as defined in …

Partner James E. Heavey Quoted in “Advisor Hub” Regarding the Recent Alleged Client Pre-Solicitation by a Soon-to-be-Departing Michigan Team from Morgan Stanley

James E. Heavey, interviewed by “Advisor Hub,” addressed the ethical and regulatory issues as they relate to reported brokers who allegedly made advances to current clients prior to their departure from  Morgan Stanley Smith Barney.

Please Join Barton as James A. Guadiana Participates in “Recent Trends and Developments on OECD’s Transfer Pricing Guidelines: What You Need to Know” LIVE Webcast

James A. Guadiana will speak on “Recent Trends and Developments on OECD’s Transfer Pricing Guidelines: What You Need to Know” LIVE Webcast scheduled for Thursday, February 15, 2018 from 12:00 pm to 2:00 pm ET. Barton is pleased to provide a limited amount of complimentary registrations for its clients. For more information on and how to …

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