Originally published in American Bar Association.
Current Status of Arbitrating Investor Claims - What an arbitration claim against an investor’s financial professional will look like varies significantly depending on...more
Originally published in American Bar Association.
FINRA Dispute Resolution Services continues to update its rules and procedures to further its effort to operate the country’s largest securities dispute resolution forum in...more
As it was for the rest of the world, 2021 was an interesting year for the Financial Industry Regulatory Authority (FINRA).
Originally published in American Bar Association’s Securities Litigation section - March 17th,...more
3/21/2022
/ Arbitration ,
Beneficiary Designations ,
Coronavirus/COVID-19 ,
Dispute Resolution ,
Elder Issues ,
Expungement ,
Financial Abuse ,
Financial Industry Regulatory Authority (FINRA) ,
Investors ,
Mediation ,
Proposed Amendments ,
Remote Hearings ,
Securities and Exchange Commission (SEC) ,
Securities Litigation ,
Securities Violations ,
SIFMA
As we approach year three of the COVID-19 pandemic, FINRA Dispute Resolution’s arbitration hearings are being heard both in-person and via Zoom.
Originally published in American Bar Association’s Alternative Dispute...more
On June 9, 2021, FINRA announced a proposed rule change to amend Rule 2165 (Financial Exploitation of Specified Adults). The amendments would make two changes to the rule that was implemented just over three years ago. ...more
Originally published in American Bar Association - March 15, 2021. The Financial Industry Regulatory Authority (FINRA) has made significant changes to the arbitration process in response to the COVID-19 pandemic. On March 25,...more