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In the Media
AdvisorHub (February 22, 2022) - The Financial Industry Regulatory Authority has hired an outside law firm to conduct a review of its arbitrator selection procedures in a controversial case,…
ThinkAdvisor (February 18, 2022) - What You Need to Know
Christopher Gerold, a Lowenstein partner and former chief of the New Jersey Bureau of Securities, will lead the investigation.
An Atlanta…
ThinkAdvisor (February 16, 2022) - Members of several Senate and House committees spent Valentine’s Day getting briefed on the need for the Labor Department’s anticipated new fiduciary rule.…
Financial Advisors IQ (February 11, 2022) - Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., are calling on the Financial Industry Regulatory Authority to give details on its…
InvestmentNews (February 10, 2022) - Sen. Elizabeth Warren, D-Mass., and Rep. Katie Porter, D-Calif., asked how arbitrators were chosen and whether the firm influenced the selection.
Senate and…
Financial Planning (February 8, 2022) - As FINRA prepares to implement a new rule that takes aim at firms with a “significant history of misconduct,” lawyers, investor groups and others within the…
National Law Review (February 7, 2022) - WHAT YOU NEED TO KNOW IN A MINUTE OR LESS
The New York Convention typically requires U.S. courts to enforce written arbitration agreements covering…
The Wall Street Journal (February 3, 2022) - A Georgia judge said the bank and its lawyer secretly manipulated a list of potential arbitrators
A Georgia judge questioned the fairness of the…
Financial Advisor IQ (February 3, 2022) - The Public Investors Advocate Bar Association is calling for an investigation of the Financial Industry Regulatory Authority’s arbitration process after a…
Georgia Court Vacates FINRA Award, Decrying 'Secret Agreement' With Wells Fargo, By Patrick Donachie
Wealth Management (February 3, 2022) - The Superior Court in Fulton County, Ga., overturned a decision by FINRA after plaintiffs argued the firm’s counsel unfairly manipulated a list of arbitrators…