Articles, Speeches and Press

Matasar interviewed for, “Is SVB A Canary In The Broker Protocol Coalmine?” Wealth Solutions Report, May 2023.

Matasar interviewed for, “How to retain your business, and your sanity, when leaving your firm.” Financial Planning, November 17, 2021.

Matasar interviewed for, “Legal Jeopardy? “Return to Office” Liability Risks for Wealth Management Firms.” Wealth Solutions Report, September 2021.

Quoted in “So you Want to Break Away from a Non-Protocol Firm?” Advisor Hub, September 20, 2019.

Quoted in “Merrill Lynch Lawsuit Shows Fired Brokers Can Use Protocol Rules Too” Financial Advisor IQ, October 17, 2018.

Quoted in “”Defamed” and “Disgusted” Ex-Merrill Lynch FAs Fight Back in Court and Claim Victory” Financial Advisor IQ, August 15, 2018

Quoted in “Merrill Takes Fired Ohio Broker to Court in Non-Solicitation Dispute” Advisor Hub, July 28, 2018

Matasar interviewed by AdvisorHUB about penalties for sales practice violations. Advisor Hub, December 6, 2017

Quoted in “Questions Abound After Morgan Stanley Leaves Broker Protocol” Wealth Management, October 30, 2017.

Quoted in “Fiduciary Rule is Creating Concern for Some, Opportunity for Others” Crain’s Cleveland Business, June 11, 2017

“There’s No Such Thing as “Just a Friendly Chat” when Compliance Shows Up” Scott Matasar LinkedIn, April 6, 2017

“Federal Securities Regulatory Priorities 2017,” Cleveland NAIFA Chapter, March 9, 2017

“FINRA’s Latest Tinkering with the Code of Arbitration Procedure for Customer Disputes isn’t the Solution,” Scott Matasar LinkedIn, December 8, 2016

Matasar interviewed by the Financial Times about FINRA plan to expand public arbitrator pool. Financial Advisor IQ, July 19, 2016

“Swallow Hard and Disclose Even Shameful Secrets,” Advisor Hub, June 28, 2016

Quoted in “Are New Rules for Retirement a Blessing or a Curse?” Crain’s Cleveland Business, June 2, 2016

“Don’t Get Burned: FINRA/SEC Regulatory Hot Topics,” Jewish Federation of Cleveland’s 44th Annual Charitable Tax Seminar, June 1, 2016, Cleveland, OH

“FINRA 2016 Enforcement Hot Topics” NAIFA Seminar, January 14, 2016, Cleveland, OH

Quoted in “Chagrin Falls financial adviser indicted in $15 million investment scheme,” Cleveland Plain Dealer, January 8, 2016.

“Surviving a FINRA Disciplinary Deposition,” Advisor Hub, October 19, 2015.

“FINRA’s Hit You with a Rule 8210 Subpoena – Now What?” Advisor Hub, August 31, 2015

“Who Really Owns Your Clients? (Nobody),” Advisor Hub, August 10, 2015

“Every Man for Himself: Protecting Yourself in a Team Breakup,” Advisor Hub, June 22, 2015

Featured in “Small Cleveland law firm believes it will pack big punch with unique approach” Crain’s Cleveland Business, May 31, 2015.

“Form U5 Protection in Case of Emergency,” Advisor Hub, May 28, 2015

“Top Ten Mistakes Advisors Make During Practice Transitions,” Advisor Hub, May 11, 2015

Featured in “Two former partners at big firms in Cleveland launch Matasar Jacobs,” Crain’s Cleveland Business, May 6, 2015.

“Minimizing Risk in Practice Transitions,” Spring Training for Financial Advisors Conference, March 3-5, 2015, Scottsdale, AZ

“Top Tips for Avoiding Arbitration and Minimizing Exposure,” Signator Financial Services, Inc. 2014 Great Lakes Regional Conference, October 3, 2014.

Quoted in, “PNC Sues Former Advisor, Morgan Stanley for “Surreptitious Conspiracy,” InvestmentNews, April 3, 2014.

“FINRA Legal Action Shows that AML Compliance is Alive and Well,” blog entry, December 2013.

“Effective Handling of Whistleblower Claims in the Age of Dodd-Frank,” Calfee 14th Annual Complex Litigation Seminar, August 1, 2013.

“FINRA Contemplating Making it Harder for Brokers to Expunge Arbitrations from Their Records,” blog entry, July 2013.

“If a Customer Arbitration Goes Badly, Reps and Firms Must Work Together to Salvage the Situation,” blog entry, April 2013.

“FINRA Makes Arbitration Forum Available to Registered Investment Adviser Firms,” blog entry, December 2012.

“Netflix Imbroglio Illustrates the Risks Securities Firms and Professionals Face from Unregulated Use of Electronic Social Media,” Lexology, December 2012.

“U.S. Supreme Court Reaffirms Arbitrators are Empowered to Determine Enforceability of Non-Compete Provisions,” Lexology, December 2012.

“NASAA Provides Guidance on RIA Best Practices,” blog entry, October 2011.

“Advisers Using Social Media in Their Businesses Must Tread Carefully,” blog entry, September 2011.

Firestarter: How to Ignite Your Recruiting Without Getting Burned, presentation to Multi-Financial Securities Corporation’s “CEO Circle” Leadership Conference (August 30, 2011).

“How to Prevent and Detect Employee Fraud and Theft,” presentation to management of Cleveland Ritz-Carlton Hotel, June 30, 2011

“New York High Court Gives Guidance on How Far Advisors Can Go in Assisting Their New Firm in “Transitioning Accounts Without Violating Non-Solicitation Clauses,” blog entry, June 2011.

“How to Avoid Getting Sued When Switching Broker/Dealers,” webinar, May 2011.

“Client Ownership and Switching Firms: Clients Aren’t Chattel,” blog entry, April 2011.

“Current Trends in Financial Advisor Regulation,” presentation to SS&G Financial Services, October 2010.

Quoted in “VA. man who bilked Keybanc Capital Markets, others in Fraud Scheme Heads to Jail”, Crain’s Cleveland Business, July 8, 2010.

“No Free Lunch: Litigation Risks From Bailout Legislation,” Calfee 10th Annual Complex Litigation Seminar, August 6, 2009.

Quoted in “Virginia man charged in scheme to cheat broker dealers,” Crain’s Cleveland Business, April 29, 2009

“Significant Corporate and Securities Litigation Developments,” (Panel Co-Chair), 14th Annual Bowne Securities Law Institute, November 19, 2008.

“Introduction to Securities Litigation, Enforcement and Prosecution of Financial Crimes,” (Panel Co-Chair), Cleveland Bar Association annual Securities Law Boot Camp, November 10, 2008.

“Defenses in Subprime Litigation,” Securities Litigation & Regulation (Thompson/West Publications), Vol. 14, Issue 14 (November 18, 2008).

“Managing Expectations for US Adoption of IFRS,” Securities Law 360, October 27, 2008.

“Risk Modeling and its Implication for Liability of Rating Agencies,” LEXIS Subprime Mortgage Securitization Crisis Expert Commentary Series , October 2008.

“Designing a Customized Arbitration Process for Your Organization,” Calfee 9th Annual Complex Litigation Seminar, July 31, 2008.

“Effective Risk Management for Financial Advisors,” presentation to Wexford, PA branch of Citigroup Global Markets Inc., July 16, 2008.

“Effective Risk Management for Financial Advisors,” presentation to Pittsburgh branch of Citigroup Global Markets Inc., July 16, 2008.

“Effective Risk Management for Financial Advisors,” presentation to Youngstown branch of Citigroup Global Markets Inc., July 15, 2008.

“Effective Risk Management for Financial Advisors,” presentation to Cleveland branch of Citigroup Global Markets Inc., June 12, 2008.

“Primer on Subprime Litigation,” Cleveland Metropolitan Bar Association presentation, April 30, 2008.

Effective Risk Management for Financial Advisors, presentation to Columbus branch of Citigroup Global Markets Inc., April 28, 2008.

“Taking and Defending Effective Depositions,” Lorman Education Services seminar, April 22, 2008.

Quoted in, “Subprime Becomes Primetime at Calfee,” Crain’s Cleveland Business, February 18, 2008.

Quoted in, “Foreclosure Class Action Could Spark Copycats,” Crain’s Cleveland Business, February 18, 2008.

“New SEC Anti-Fraud Rule Has Sweeping Implications,” Securities Law 360, October 24, 2007.

“New SEC Anti-Fraud Rule Impacts Hedge Funds, Private Equity Funds, Other Pooled Investment Vehicles,”, October 17, 2007.

“SEC Closely Eyeing Private Investment Funds, Advisor Actions,” Crain’s Cleveland Business, September 18, 2007.

“Top Tips for Avoiding Arbitration and Minimizing Exposure,” presentation to Columbus branch of A.G. Edwards, Inc., May 31, 2007.

“Privilege Protected with New Government Safeguards,” Baltimore Business Journal, April 27, 2007.

“Companies Have New Safeguards in Government Investigations,” Columbus Business First, April 13, 2007.

“Impact of the McNulty Memorandum on Corporate Investigations”, Cleveland Securities Law Inst., Feb. 2007.

“SEC’s Authority Over Hedge Funds Short-Lived,” Calfee Insights, Vol. IV, Issue 3, Fall 2006.

“Backdated Stock Options: Strategies for Responding to Government Investigations and Shareholder Litigation,” Seminar, September 22, 2006.

“Investigation Into Backdated Options Grants Latest Pitfall for Publicly-Trade Companies,” Crain’s Cleveland Business, September 18, 2006.

“Investment Banking Law Update,” (Panel Chair), Cleveland Securities Law Inst., March 2006.

“Recent Developments in Securities Litigation and Enforcement,” Cleveland Sec. Law Inst., March 2005.