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October 2017 Archives

Regulatory Intelligence Compliance Solutions (RICS) - A Nicoll Davis & Spinella LLP Client - Makes Headlines!

We are always proud when one of our own clients has news to share - because our clients' success is our success. We're especially happy to announce that RICS has successfully deployed its RICS Regulatory Change Management SystemTM for Oppenheimer for its branch audit process. The system monitors change, alerts the organization to risk conditions, and enables accountability and collaboration around changes that impact the firm. This requires a common process to provide real-time accountability and transparency across regulatory areas. The RICS team is thrilled to partner with Oppenheimer, and they are very proud of their expertise in this space. 

ND&S Partners Attend Business Forum 2017 at Union League in Philadelphia

ND&S partners recently attended the Business Forum 2017, sponsored by the Union League Philadelphia. The Union League is comprised of members who represent the Philadelphia region's leaders in business, education, technology, healthcare, law, government, religion, art and culture.

New York City's Fair Chance Act

When to Consider an Applicant's Criminal History

In 2015, the New York City Commission on Human Rights enacted the Fair Chance Act that would prohibit employers from asking potential applicants if they have been convicted of a crime until after the employer has issued a conditional offer to the applicant. This law was passed to ensure that job applicants were evaluated on their merits and not be barred due to their criminal history.

New York City Employer and Landlord Alert

Preventing Against Gender Identity Discrimination

Experts estimate that there are more than 25,000 transgender and gender non-conforming people that reside in New York City. As a result, it is very important that New York City employers and landlords become familiar with their obligations when addressing the gender identity of their employees or tenants. The failure to do so can result in hefty fines and discrimination claims brought against offenders.

ND&S Files Federal Trademark Infringement Lawsuit

Claim Filed to Protect NJ-Based Food Service - Eat Clean Bro

Attorney Anthony Davis of Nicoll, Davis & Spinella LLP filed a trademark infringement lawsuit in the U.S. District Court for the District of New Jersey for the New Jersey-based food and meal delivery service, Eat Clean Bro, against a local competitor, Ketoned Bodies.

Chief Financial Officers can be Held Liable

Liability for Improper Personal Expenses of Other Executives

CFO and corporate accountants must be aware that the improprieties of their superiors could lead to their own personal liabilities. This is because Courts have found that corporate officers can breach their fiduciary duties to a company if they are involved in conduct that benefited their superior officers by approving or concealing improper expense reimbursements. For example, in Hampshire Group, Limited v. Kuttner, C.A. No. 3607-VCS (Del. Ch. July 12, 2010), the litigation was initiated by accusations of self-dealing and lavish spending by the CEO.

Jack Spinella Interviewed During WCBS Small Business Breakfast

Joe Connolly, anchor of the popular WCBS Small Business Breakfast event, recently interviewed attorney Jack T. Spinella. WCBS Small Business Breakfast events offer New York area businesses an edge in creating sales, making important contacts, and discovering valuable ideas to build successful and lucrative businesses.

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