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corporatefinancialweeklydigest.com (March 22, 2013) -- The District Court for the District of Columbia has held that the Securities and Exchange Commission is exempt from producing documents relating…
U.S. News & World Report (March 21, 2013 9:14 am) Investors with brokerage accounts must settle disputes through the FINRA-run arbitration system, not a jury trial. FINRA is the Financial…
Securities Law Prof Blog (March 18, 2013) -- The D.C. district court recently rebuffed the efforts of an association of attorneys who represent public investors in securities arbitrations to obtain…
Reuters (March 14, 2013 5:23 pm) - A federal judge ruled on Thursday that U.S. securities regulators do not need to publicly release records of their oversight of the Financial Industry Regulatory…
Wall Street On Parade (February 27, 2013) -- As questions swirl as to why New York University, a nonprofit subsidized by the taxpayer, used endowment funds from its law school foundation to provide…
USAToday (February 23, 2013 11:53 am) -- Money Watch, a personal finance column that runs every Saturday, features a financial planner from the National Association of Personal Financial Advisors…
More brokerage firms are expected to demand that customers give up their right to file class actions against themInvestmentNews (February 24, 2013 11:01 pm) -- More brokerage firms are expected to…
Reuters (January 28, 2013) -- A proposal to limit when people with certain ties to the securities industry are called to decide cases of aggrieved investors is a step in the right direction, but does…
Trends show they still play a role, despite use of public panelistsInvestmentNews (Janusary 20, 2013 11:01 pm) -- ome observers have speculated that industry arbitrators may become a thing of the…
ARS settlements and tougher compliance result in a dearth of casesInvestmentNews (Janusary 20, 2013 11:01 pm) -- oPlaintiff's lawyers are the latest victims of the bear market, complaining that while…