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Law360, New York (May 09, 2013 5:16 PM) -- State regulators and investor organizations Wednesday joined the Financial Industry Regulatory Authority in its appeal against a FINRA panel decision to…
ThinkAdvisor (May 9, 2013) -- State securities regulators are throwing their support behind FINRA in its battle to overturn a decision by the self-regulator’s hearing panel that allowed Charles…
Atlanta Business Chronicle (May 2, 2013) -- In recent weeks a groundswell of high- level support has been growing surrounding the issue of mandatory arbitration in the securities industry.Earlier…
The Wall Street Journal (April 12, 2013 5:27 pm) -- The Financial Industry Regulatory Authority's board on Thursday will consider changes intended to simplify the rules for investors selecting an…
Wall Street Journal Wealth Adviser (April 11, 2013 3:01 pm) -- The Financial Industry Regulatory Authority's board next week will consider proposed changes intended to simplify the rules for…
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…