March 19, 2026 | Publication
Client Alert: SEC Crypto Update: Clarity on What Is—and Isn't—a Security
March 3, 2026 | Publication
Client Alert: What FINRA's Eleven-Category Risk Model Means for Your Next Examination
February 5, 2026 | News
Justin P. Senior Recognized as SRQ Magazine 35 Under 35 Young Professional
January 12, 2026 | News
Shumaker Welcomes Seven Newly Elected Partners, Reflecting Firmwide Growth and Excellence
December 17, 2025 | Publication
"Digital Risk Report," December 2025
December 12, 2025 | Publication
Client Alert: Generative Artificial Intelligence in Financial Services: A Practical Compliance Playbook for 2026
November 11, 2025 | Publication
Client Alert: Regulation S-P Deadline: RIAs Must Finalize Incident Response Programs
October 3, 2025 | News
Shumaker Defeats Merrill's Attempt to Block Former Advisors' $129 Billion Business
June 9, 2025 | Publication
Client Alert: The Supreme Court Declines to Address Challenges to FINRA Enforcement Proceedings, and FINRA Proposes Rules to Avoid Future Challenges
May 29, 2025 | Publication
Client Alert: FINRA Issues Administrative Order and Decision Regarding Alpine Sanctions
February 10, 2025 | Publication
Client Alert: Navigating FINRA's 2025 Third-Party Risk Updates: Compliance Strategies for Financial Institutions
January 22, 2025 | Publication
Client Alert: FINRA's Enforcement Arm Under Fire